Daniel H. Gergel
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 Harry Gergel was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1984. Daniel had worked at 13 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2003 - May 17, 2006
BRECEK & YOUNG ADVISORS, INC.
January 14, 2003 - October 16, 2003
GUSTAFSON BAXTER FINANCIAL SERVICES INC
November 14, 2002 - May 17, 2006
BRECEK & YOUNG ADVISORS, INC.
July 2, 2001 - June 26, 2002
WRP INVESTMENTS, INC.
September 21, 2000 - July 5, 2001
QUESTAR CAPITAL CORPORATION
September 20, 1995 - September 20, 2000
PRIM SECURITIES, INCORPORATED
April 8, 1994 - May 2, 1994
TOWER INVESTMENT GROUP, INC.
September 23, 1992 - April 8, 1994
TOWER INVESTMENT GROUP, INC.
July 15, 1992 - October 2, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 31, 1990 - June 29, 1992
TITAN/VALUE EQUITIES GROUP, INC.
May 24, 1990 - June 20, 1990
FIRST OHIO SECURITIES COMPANY
June 18, 1989 - December 31, 1989
SUNAMERICA SECURITIES, INC.
September 15, 1987 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
July 30, 1985 - June 30, 1987
VP DISTRIBUTORS LLC
May 10, 1984 - July 17, 1985
PW SECURITIES, INC.
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
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
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.
