Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 23, 2018 indicate that former New York-based Four Points Capital Partners broker Daniel Fischer has been sanctioned by the Securities and Exchange Commission (SEC) and barred from acting as a broker or investment adviser or otherwise associating with firms that sell securities or provide investment advice to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fischer (CRD# 2796625).
Daniel Fischer has spent 11 years in the securities industry and was most recently registered with Four Points Capital Partners in New York, New York (2012-2017). Previous registrations include WTS Proprietary Trading Group in New York, New York (2012); Dimension Securities in New York, New York (2010-2012); Dimension Trading Group in New York, New York (2011-2012); ETrade Securities in Jersey City, New Jersey (2007-2008); Hold Brothers On-Line Investment Services in New York, New York (2007); Quest Capital Strategies in Lake Forest, California (2004); Worldco in New York, New York (2001-2002); On-Site Trading in Great Neck, New York (1998; 2000-2001); and Monroe Parker Securities in Purchase, New York (1997). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on Mary 12, 1997; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on October 23, 2000; Series 7 (General Securities Representative Examination), which he obtained on May 9, 1997; and Series 24 (General Securities Principal Examination), which he obtained on March 20, 2000. He is currently not registered with any state or firm.
According to his BrokerCheck report, Daniel Fischer has been the subject of FINRA and SEC sanctions, as well as a civil action by the SEC.