Daniel M. Gillcrist
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 Gillcrist was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1971. Daniel had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2009 - August 10, 2017
WFG INVESTMENTS, INC.
May 19, 2006 - August 24, 2009
SAMCO CAPITAL MARKETS, INC.
February 3, 2003 - May 19, 2006
PENSON FINANCIAL SERVICES, INC.
February 4, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
January 31, 2000 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
July 16, 1991 - January 28, 2000
MOMENTUM INDEPENDENT NETWORK INC.
July 6, 1990 - July 19, 1991
UBS FINANCIAL SERVICES INC.
September 12, 1989 - July 11, 1990
ROTAN MOSLE INC.
August 25, 1989 - September 23, 1989
PRUDENTIAL EQUITY GROUP, LLC
September 27, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 7, 1985 - October 6, 1988
KIDDER, PEABODY & CO. INCORPORATED
October 11, 1972 - October 28, 1985
E. F. HUTTON & COMPANY INC
July 2, 1971 - October 13, 1972
UNDERWOOD, NEUHAUS & CO., INCORPORATED
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
Series 1
Date: 6/22/1971
Registered Representative ExaminationCurrent Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
