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DD

Daniel G. Defoe

Some features on this profile are disabled
CRD#: 1392098
DD

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 Gerald Defoe was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

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

March 9, 2015 - October 31, 2017

SOUTHEAST INVESTMENTS, N.C., INC.

RIA
CRD#: 43035
Homosassa, FL
Past

February 23, 2015 - October 31, 2017

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

April 4, 2001 - January 30, 2015

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
NEWARK, DE
Past

July 14, 2000 - January 30, 2015

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, DE
Past

August 1, 1995 - December 31, 1995

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

July 25, 1994 - December 8, 1994

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

August 17, 1992 - July 22, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

June 24, 1991 - July 30, 1992

PRINCETON SECURITIES CORPORATION

BD
CRD#: 21613
SYOSSET, NY
Past

August 31, 1990 - June 26, 1991

PACIFIC SOUTHERN SECURITIES, INC.

BD
CRD#: 13155
Past

August 14, 1985 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096

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
IAR
Series 65
Date: 11/9/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/13/2000
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/4/1986
General Securities Principal Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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.

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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