Daniel G. Carlen
Professional summary
Daniel Glenn Carlen 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 advisor and started their career in finance in 1992. Prior to being barred, Daniel had worked at 2 firms, which includes SLAVIC MUTUAL FUNDS MANAGEMENT CORP., SLAVIC INVESTMENT CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2007 - October 30, 2008
SLAVIC MUTUAL FUNDS MANAGEMENT CORP.
March 30, 1992 - October 30, 2008
SLAVIC INVESTMENT CORPORATION
Primary Firm SEC Registration
SLAVIC MUTUAL FUNDS MANAGEMENT CORP.
CRD#: 113833 / SEC#: 801-29099
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 28
Date: 8/18/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SLAVIC MUTUAL FUNDS MANAGEMENT CORP.
CRD#: 113833 / SEC#: 801-29099
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,128 |
| AUM (Assets Under Management) | $ 4,496,485,013 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/10/2025 | ||
| 03/01/2024 |
Red Flags
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