Daniel A. Vargas
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 Andrew Vargas, who also goes by Dan A Vargas, Dan Andrew Vargas, Daniel Andrew Vargas, Danny Andrew Vargas, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1991. Daniel had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - December 16, 2014
MUTUAL OF AMERICA SECURITIES LLC
April 11, 2014 - December 16, 2014
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
October 31, 2007 - October 22, 2008
ALAMO CAPITAL
March 10, 2003 - February 26, 2007
FIRST BROKERAGE AMERICA, L.L.C.
October 15, 2002 - March 4, 2003
WAMU INVESTMENTS, INC.
April 1, 2002 - September 4, 2002
WELLS FARGO INVESTMENTS, LLC
October 1, 1998 - January 28, 2002
UBS FINANCIAL SERVICES INC.
September 12, 1995 - October 8, 1998
CITIGROUP GLOBAL MARKETS INC.
February 1, 1994 - September 25, 1995
FIDELITY BROKERAGE SERVICES LLC
July 31, 1993 - March 1, 1994
CITIGROUP GLOBAL MARKETS INC.
September 28, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 7, 1992 - September 29, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 1991 - March 9, 1992
FRANKLIN/TEMPLETON DISTRIBUTORS, 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
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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