Daniel P. Mulheran
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Patrick Mulheran, who also goes by D Mulheran, Dan Mulheran Sr, Daniel Patrick Mulheran, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1981. Daniel had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2002 - July 1, 2013
SLD AMERICA EQUITIES, INC.
March 6, 2002 - December 31, 2002
VOYA FINANCIAL ADVISORS, INC.
December 22, 1992 - March 17, 2008
VOYA FINANCIAL ADVISORS, INC.
May 26, 1992 - August 18, 1993
ASKAR CORP.
December 23, 1988 - November 9, 1989
B.C. CHRISTOPHER SECURITIES CO.
May 5, 1987 - May 22, 1992
THE GREAT-WEST LIFE ASSURANCE COMPANY
April 15, 1986 - December 23, 1988
MORISON SECURITIES, INC.
November 15, 1981 - April 21, 1986
THE GREAT-WEST LIFE ASSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
