Daniel G. Lempe
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 George Lempe, who also goes by Danial George Lempe, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27, Series 53 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
January 1, 1999 - December 10, 2020
FORTA FINANCIAL GROUP, INC.
December 18, 1991 - December 10, 2020
FORTA FINANCIAL GROUP, INC.
September 17, 1990 - January 24, 1992
DEL MAR SECURITIES, INC.
November 20, 1989 - September 21, 1990
UBS FINANCIAL SERVICES INC.
April 16, 1985 - January 4, 1990
BLINDER, ROBINSON & CO., INC.
August 30, 1984 - April 26, 1985
NIELSON AND CLARK INC.
May 2, 1984 - September 7, 1984
VANDERBILT 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
FORTA FINANCIAL GROUP, INC.
CRD#: 28784 / SEC#: 801-113100, 8-43930
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
Red Flags
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