Daniel K. Mcgouran
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 Kenneth Mcgouran, who also goes by Dan Mcgouran, Daniel Keneth Mcgouran, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
December 12, 2014 - January 14, 2016
INSPEREX LLC
December 12, 2014 - January 14, 2016
INCAPITAL DISTRIBUTORS LLC
October 14, 2014 - December 19, 2014
STADION MONEY MANAGEMENT, LLC
April 23, 2014 - December 22, 2014
ALPS DISTRIBUTORS, INC.
January 13, 2014 - March 10, 2014
EDWARD JONES
January 13, 2014 - March 10, 2014
EDWARD JONES
June 5, 2009 - October 4, 2013
ADVISORS ASSET MANAGEMENT, INC.
May 13, 2009 - October 4, 2013
ADVISORS ASSET MANAGEMENT, INC.
November 29, 2007 - July 3, 2008
LPL FINANCIAL LLC
July 26, 2000 - July 30, 2007
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 29, 1999 - March 15, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1995 - October 13, 1997
MORGAN STANLEY DW INC.
November 7, 1994 - May 5, 1995
PRUDENTIAL EQUITY GROUP, 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
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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