Daniel B. Meeker
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 Brian Meeker SR was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 1993. Daniel had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2011 - March 6, 2013
FORESTERS EQUITY SERVICES, INC.
October 14, 2008 - December 31, 2010
INVESTMENT ADVISORS CORP
January 9, 2007 - December 31, 2010
BROKER DEALER FINANCIAL SERVICES CORP.
December 18, 2006 - December 31, 2006
SII INVESTMENTS, INC.
December 15, 2006 - December 31, 2006
SII INVESTMENTS, INC.
February 14, 2000 - December 14, 2006
SII INVESTMENTS, INC.
June 16, 1999 - December 14, 2006
SII INVESTMENTS, INC.
November 9, 1995 - June 17, 1999
SUNAMERICA SECURITIES, INC.
September 18, 1995 - November 21, 1995
SUNPOINT SECURITIES, INC.
May 14, 1993 - October 16, 1995
LEGG MASON WOOD WALKER, 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
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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