Daniel D. Fuller
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 D Fuller, who also goes by Dan Fuller, Daniel David Fuller, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10, Series 9, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2020 - July 15, 2020
USAA INVESTMENT SERVICES COMPANY
June 6, 2019 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
April 4, 1994 - February 21, 2019
CHARLES SCHWAB & CO., INC.
February 29, 1992 - September 23, 1993
MARINER FINANCIAL SERVICES, INC.
February 28, 1992 - September 23, 1993
MARINER FINANCIAL SERVICES, INC.
January 19, 1990 - March 19, 1990
ROYCE PARK INVESTMENTS, INC.
September 20, 1989 - October 19, 1989
FIRST AMERICAN BILTMORE SECURITIES, INC.
July 26, 1988 - November 21, 1988
L.F. THOMPSON & COMPANY
July 5, 1988 - July 27, 1988
YAEGER SECURITIES, INC.
August 3, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
April 25, 1986 - July 31, 1987
BLINDER, ROBINSON & CO., INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Series 7TO
Date: 12/23/2022
General Securities Representative ExaminationSeries 8
Date: 7/26/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
