Dan M. Mcaskin
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.
Dan Michael Mcaskin was a registered financial professional .
Dan is a previously registered financial professional and started their career in finance in 1983. Dan had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 8, Series 4, Series 27 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
October 30, 2009 - January 29, 2010
AMERIPRISE ADVISOR SERVICES, INC.
October 5, 2009 - December 31, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 2009 - January 3, 2023
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
April 20, 1983 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 3/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
Red Flags
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