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Daniel Tidwell’s Investment Advisory Registration Suspended in Delaware

Jan 20, 2023 Blue Sky Laws

Daniel Tidwell (CRD #: 828885), a broker registered with Janney Montgomery Scott, was recently the subject of a state-level regulatory action, according to his BrokerCheck record, accessed on January 12, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Regulatory Action by State of Delaware

On November 2, 2022, Daniel Tidwell entered into a consent order with the State of Delaware. He consented to a $25,000 fine and a suspension of his investment advisory registration for ten business days. His suspension ran from November 7 to November 18, 2022.

Daniel Tidwell also agreed to a heightened supervision plan for one year, beginning within 30 days of entering the consent order.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Daniel Tidwell has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • PC – AMEX Put and Call Exam
  • Series 7 – General Securities Representative Examination
  • Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)
  • Series 24 – General Securities Principal Examination

Daniel Tidwell is a registered broker in 31 states and the District of Columbia. He is also a registered investment adviser in Delaware and Texas.

He has also worked for the following firms:

  • Morgan Stanley (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)
  • Merrill Lynch Pierce Fenner & Smith (CRD#:7691)
  • Dean Witter Reynolds (CRD#:7556)
  • W. N. Whelen & Company (CRD#:7327)

Kurta Law Can Help

If you worked with Daniel Tidwell 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.