Daniel J. Trapp
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 Joseph Trapp, who also goes by Daniel Joseph Trapp Mr, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2019 - November 10, 2021
SOVEREIGN FINANCIAL GROUP, INC.
July 29, 2008 - December 27, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 9, 2006 - August 1, 2008
VOYA FINANCIAL ADVISORS, INC.
October 25, 2005 - September 29, 2006
NEXT FINANCIAL GROUP, INC.
August 30, 1985 - October 25, 2005
PFS INVESTMENTS INC.
Primary Firm SEC Registration
SOVEREIGN FINANCIAL GROUP, INC.
CRD#: 294314 / SEC#: 801-114529
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
SOVEREIGN FINANCIAL GROUP, INC.
CRD#: 294314 / SEC#: 801-114529
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,304 |
| AUM (Assets Under Management) | $ 882,702,145 |
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.
