Daniel C. Krueger
Professional summary
Daniel Charles Krueger was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Daniel had worked at 5 firms, which includes FFP SECURITIES INC., PIM FINANCIAL SERVICES INC., WFG SECURITIES CORPORATION, LUTHERAN BROTHERHOOD SECURITIES CORP., THRIVENT INVESTMENT MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 1996 - November 3, 1998
FFP SECURITIES, INC.
March 14, 1995 - February 26, 1996
PIM FINANCIAL SERVICES, INC.
March 1, 1993 - March 20, 1995
WFG SECURITIES CORPORATION
December 9, 1991 - March 1, 1993
LUTHERAN BROTHERHOOD SECURITIES CORP.
October 11, 1990 - December 9, 1991
WFG SECURITIES CORPORATION
June 9, 1987 - October 19, 1990
THRIVENT INVESTMENT MANAGEMENT INC.
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
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
Red Flags
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