Daniel T. Pszanka
Professional summary
Daniel Timothy Pszanka 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 1994. Prior to being barred, Daniel had worked at 6 firms, which includes WELLS FARGO INVESTMENTS LLC, WELLS FARGO SECURITIES INC., WELLS FARGO BROKERAGE SERVICES L.L.C., CHASE INVESTMENT SERVICES CORP., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2000 - May 15, 2001
WELLS FARGO INVESTMENTS, LLC
September 1, 2000 - May 15, 2001
WELLS FARGO SECURITIES INC.
February 10, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 29, 1996 - December 1, 1999
CHASE INVESTMENT SERVICES CORP.
March 21, 1995 - November 7, 1996
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 22, 1994 - March 30, 1995
IDS LIFE INSURANCE COMPANY
June 22, 1994 - March 30, 1995
AMERIPRISE FINANCIAL SERVICES, 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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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