Daniel Snodgrass Fired by BCG Securities

Daniel Snodgrass (CRD #: 4083817), a previously registered broker, has been terminated by BCG Securities, according to his BrokerCheck record, accessed on August 3, 2023. This is not the only termination on his record. Concerned investors should keep reading. 

On July 6, 2023, BCG Securities terminated Daniel Snodgrass following allegations that he did not follow firm policies and procedures relating to servicing a customer’s account. 

According to a disclosure dated September 26, 2016, Daniel Snodgrass was fired by UBS Financial Services. This followed allegations that he violated several firm policies in connection with his failure to conduct sufficient due diligence during the onboarding of a new client. 

On June 14, 2019, Daniel Snodgrass became the subject of a civil lien for $3,641.45. The Broker Comment of this disclosure states that the judgment will be paid in full via wage garnishment. 

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems to ensure their compliance with securities regulations. Firm policies should be designed with regulatory rules and regulations in mind. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of firm policies may also violate this rule. 

Background Information 

Daniel Snodgrass has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination 

Daniel Snodgrass has registered with the following firms: 

• BCG Securities (CRD #: 70) 
• UBS Financial Services (CRD #: 8174) 
• Citigroup Global Markets (CRD #: 7059) 

Kurta Law Can Help

If you worked with Daniel Snodgrass and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.