Daniel W. Aho
Professional summary
Daniel William Aho was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel William Aho was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 10 firms and has passed the Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2008 - April 6, 2009
SII INVESTMENTS, INC.
January 17, 2007 - October 29, 2008
WAMU INVESTMENTS, INC.
October 17, 2006 - January 11, 2007
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2003 - October 6, 2006
BANCWEST INVESTMENT SERVICES, INC.
June 3, 2002 - November 18, 2003
LPL FINANCIAL LLC
December 6, 1999 - June 17, 2002
WAMU INVESTMENTS, INC.
September 14, 1999 - January 10, 2000
ESSEX NATIONAL SECURITIES, LLC
September 24, 1998 - September 1, 1999
WESTFIN SECURITIES CORPORATION
April 1, 1998 - September 23, 1998
CAL FED INVESTMENTS
February 5, 1997 - January 29, 1998
GATEWAY INVESTMENT SERVICES, INC.
November 1, 1994 - January 31, 1997
INVEST FINANCIAL CORPORATION
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
SII INVESTMENTS, INC.
CRD#: 2225 / SEC#: 801-54935, 8-13963
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP, COO | 2770565 |
| KINART, TODD MICHAEL | SII PRESIDENT & CEO/DIRECTOR | 2723511 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND SII SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 9 |
Red Flags
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