Daniel D. Volnek
Professional summary
Daniel Duane Volnek 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 1994. Prior to being barred, Daniel had worked at 7 firms, which includes PRINCIPAL SECURITIES INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 1999 - August 25, 2004
PRINCIPAL SECURITIES, INC.
July 20, 1998 - August 25, 2004
PRINCIPAL SECURITIES, INC.
January 5, 1998 - June 25, 1998
MORGAN STANLEY DW INC.
November 12, 1996 - January 6, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 1995 - October 11, 1996
ROBERT W. BAIRD & CO. INCORPORATED
February 28, 1995 - October 11, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 1, 1994 - January 4, 1995
METROPOLITAN LIFE INSURANCE COMPANY
February 1, 1994 - January 4, 1995
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
