Thaddeus L. Daber

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CRD#: 1347342

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.

Thaddeus Logan Daber, who also goes by Thad Logan Daber, was a registered financial professional .

Thaddeus is a previously registered financial professional and started their career in finance in 1985. Thaddeus had worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thad Logan Daber

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 29, 1986 - September 13, 1988

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

Past

April 24, 1985 - June 2, 1986

PILOT FINANCIAL SERVICES, INC.

CRD#: 7838

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 5/1/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Current Firm

SECURIAN FINANCIAL SERVICES, INC.

ASCEND FINANCIAL SERVICES, INC. | SECURIAN FINANCIAL SERVICES, INC. | MIMLIC SALES CORPORATION

CRD#: 15296 / SEC#: 801-45152, 8-31955

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

400 Robert Street North, St Paul, MN 55101-2098

Mailing Address

400 Robert Street North, St. Paul, MN 55101-2098

Phone number

(651) 665-1233

Established

Minnesota since 03/27/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

1,750

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2023-3-22 SECURIAN ONE WRAP FEE PROGRAM BROCHURE (3/22/2023)

2023-3-22 SECURIAN SPECTRUM ADVISOR PLUS WRAP FEE PROGRAM BROCHURE (3/22/2023)

2023-3-22 SECURIAN SPECTRUM ADVISOR WRAP FEE PROGRAM (3/22/2023)

2023-3-22 SECURIAN FREEDOM WRAP FEE PROGRAM BROCHURE W 2B (3/22/2023)

2023-3-22 SFS FIRM BROCHURE (3/22/2023)

2023-3-22 PORTFOLIO SOLUTIONS I WRAP FEE PROGRAM (3/22/2023)

2023-3-22 SELECT BROCHURE (3/22/2023)

Direct owners and executive officers

Name	Position	CRD#
SECURIAN FINANCIAL GROUP, INC.	100% SHAREHOLDER
CARPENTER, KIMBERLY KAY	MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF	4266541
FERGUSON, KRISTIN MARY	MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER	6895121
MONTZ, RENEE DENISE	MEMBER OF BOARD OF DIRECTORS	6014640
OBRIEN, KERI SUE	SECRETARY	6821352

Regulatory assets under management

Total Number of Accounts	76,075
AUM (Assets Under Management)	$ 20,684,796,225

Disclosures

Regulatory Event	10
Arbitration	3
Bond	10

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/30/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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