Daniel M. Dengel
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 Mark Dengel, who also goes by Dan Dengel, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1991. Daniel had worked at 6 firms and has passed the Series 65, Series 63, Series 7 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 6, 2010 - January 3, 2013
VOYA FINANCIAL ADVISORS, INC.
June 21, 2004 - November 2, 2009
SECURITIES AMERICA, INC.
February 11, 2003 - June 23, 2004
LPL FINANCIAL LLC
February 10, 2000 - February 12, 2003
LOCUST STREET SECURITIES, INC.
January 9, 1998 - November 16, 1999
LPL FINANCIAL LLC
April 10, 1996 - January 9, 1998
LOCUST STREET SECURITIES, INC.
April 26, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 26, 1991 - February 15, 1995
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
