Daniel L. Puplava
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 Lee Puplava was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1988. Daniel had worked at 8 firms and has passed the Series 66, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2012 - July 24, 2013
FINANCIAL SENSE ADVISORS, INC.
January 10, 2012 - July 24, 2013
FINANCIAL SENSE SECURITIES, INC.
October 31, 2005 - January 29, 2010
OSAIC SERVICES, INC.
October 31, 2005 - January 29, 2010
OSAIC SERVICES, INC.
May 23, 2005 - October 31, 2005
SENTRA SECURITIES CORPORATION
November 7, 2003 - October 31, 2005
SENTRA SECURITIES CORPORATION
October 1, 2003 - November 10, 2003
LPL FINANCIAL LLC
June 26, 2002 - November 10, 2003
LPL FINANCIAL LLC
March 19, 2002 - June 17, 2002
CETERA WEALTH SERVICES, LLC
January 13, 1999 - April 5, 2002
LPL FINANCIAL LLC
July 1, 1996 - January 19, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 22, 1996 - July 1, 1996
NATIONWIDE SECURITIES, LLC
October 27, 1988 - February 21, 1996
LPL FINANCIAL LLC
Primary Firm SEC Registration
FINANCIAL SENSE ADVISORS, INC.
CRD#: 111090 / SEC#: 801-25937
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
FINANCIAL SENSE ADVISORS, INC.
CRD#: 111090 / SEC#: 801-25937
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,104 |
| AUM (Assets Under Management) | $ 681,412,925 |
Red Flags
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