Daniel R. Marcelain
Professional summary
Daniel Richard Marcelain 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 professional and started their career in finance in 1993. Prior to being barred, Daniel had worked at 7 firms, which includes AMERICAN PORTFOLIOS FINANCIAL SERVICES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., CONTINENTAL CAPITAL INVESTMENT SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2008 - January 21, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
March 31, 2003 - September 4, 2008
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 19, 2002 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
November 17, 1995 - May 1, 2002
IDS LIFE INSURANCE COMPANY
November 17, 1995 - May 1, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 1993 - December 19, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 17, 1993 - December 19, 1994
EQUITABLE ADVISORS, 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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
