Daniel (. Teplitz
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 (nmn) Teplitz, CFP®, who also goes by Dan Teplitz, Daniel Teplitz, Danny Teplitz, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
July 1, 2005 - December 31, 2023
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 1, 2003 - July 1, 2005
WALNUT STREET SECURITIES, INC.
August 1, 2003 - July 1, 2005
WALNUT STREET SECURITIES, INC.
October 25, 2002 - November 13, 2023
TEPLITZ FINANCIAL GROUP LLC
May 3, 1999 - December 6, 2001
PARK AVENUE SECURITIES LLC
May 22, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
February 12, 1993 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
November 14, 1985 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
January 20, 1982 - November 14, 1985
GUARDIAN INVESTOR SERVICES LLC
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
