Daniel G. Sites
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 Gordon Sites, who also goes by Dan Sites, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2009 - October 16, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 29, 2007 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
April 14, 2005 - October 9, 2006
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 7, 2002 - February 25, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 29, 2000 - July 17, 2002
WOODBURY FINANCIAL SERVICES, INC.
June 21, 2000 - July 11, 2000
OLD SLIP CAPITAL MANAGEMENT, INC.
November 6, 1998 - November 6, 1999
TRANSAMERICA SECURITIES SALES CORPORATION
April 19, 1994 - July 20, 1998
WOODBURY FINANCIAL SERVICES, INC.
October 4, 1991 - December 31, 1992
WOODBURY FINANCIAL SERVICES, INC.
November 22, 1989 - June 7, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 22, 1989 - June 7, 1991
PRUCO SECURITIES, LLC.
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
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
