Daniel L. Sutliff
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 Lee Sutliff was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 11 firms and has passed the Series 63, 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
Experience
March 24, 1992 - January 29, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 24, 1992 - January 29, 1993
PRUCO SECURITIES, LLC.
August 3, 1989 - November 30, 1989
GROSVENOR FINANCIAL, INC.
June 18, 1989 - November 24, 1989
SUNAMERICA SECURITIES, INC.
April 13, 1989 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
May 21, 1987 - December 31, 1987
CONSECO FINANCIAL SERVICES, INC.
April 10, 1986 - January 30, 1987
THE ADVISORS GROUP, INC.
April 25, 1985 - April 1, 1986
SECURITIES HEADQUARTERS, INC.
January 24, 1985 - January 25, 1985
ABIEL-BOLLES, INC - INVESTMENT BANKERS
December 15, 1982 - June 21, 1983
PW SECURITIES, INC.
January 14, 1982 - December 15, 1982
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
CRD#: 680 / SEC#: 801-12484, 8-13881
Contact information
Red Flags
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