Daniel P. Lawless
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 Lawless, who also goes by Dan Lawless, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1983. Daniel had worked at 5 firms and has passed the Series 66, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2009 - March 4, 2013
FFEC WEALTH PARTNERS LLC
September 21, 2009 - March 4, 2013
FFEC WEALTH PARTNERS LLC
August 2, 2006 - September 24, 2009
RBC CAPITAL MARKETS, LLC
November 13, 1998 - September 24, 2009
RBC CAPITAL MARKETS, LLC
January 6, 1988 - January 12, 1999
MORGAN STANLEY DW INC.
September 7, 1984 - January 15, 1988
E. F. HUTTON & COMPANY INC
March 1, 1983 - September 17, 1984
RAUSCHER PIERCE REFSNES, 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
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| 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.
