Daniel R. Mcginnis
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 Robert Mcginnis, who also goes by Dan Robert Mcginnis, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2011. Daniel had worked at 4 firms and has passed the Series 66, Series 63, SIE 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 31, 2014 - January 10, 2017
FELTL ADVISORS
October 1, 2014 - December 15, 2016
FELTL & COMPANY
June 29, 2012 - February 10, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 29, 2012 - February 10, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2011 - July 3, 2012
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
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
FELTL ADVISORS
CRD#: 165244 / SEC#: 801-77347
Contact information
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 132,417,421 |
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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