DANIEL R MORAES is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 1555 IYANNOUGH RD, HYANNIS, MA, 02601.

DANIEL R MORAES has worked at NYLIFE SECURITIES LLC since July 12, 2011

Disclosure History

DANIEL R MORAES has 2 Disclosure Event(s).

Date: May 21, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $203,454.00
Judgment/Lien Type: Tax
Broker Comment: RR states that this lien resulted from the corporation he owned purchasing a business with tax issues. RR states that he did not realize that the lien had been filed against him individually.

Date: July 30, 2012
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: RR states that this bankruptcy stemmed from corporate debt which he guaranteed.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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