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Thomas Daniels Fired from Steward Partners Investment Solutions

Thomas Daniels (CRD #: 4161304), a broker formerly registered with Steward Partners Investment Solutions, was fired from that firm, according to his BrokerCheck record, accessed on May 28, 2025. Read on if you have questions about his alleged conduct as a broker.

Termination from Steward Partners Investment Solutions

On February 21, 2025, Thomas Daniels was fired from Steward Partners Investment Solutions for allegedly failing to obtain consent to trade in a client’s account.

FINRA Rule 3260

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. The firm must also approve the designation of an account as discretionary before this trading can occur.

FINRA Rule 2010

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

Background Information

Thomas Daniels has passed the following exams:

  • General Securities Principal Examination – Series 24
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

He has also worked for the following firms:

  • Steward Partners Investment Solutions (CRD#:1254)
  • Commonwealth Financial Network (CRD#:8032)
  • Citigroup Global Markets (CRD#:7059)

Kurta Law Can Help

If you worked with Thomas Daniels 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 that 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. 

 

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