Daniel G. Maughan
Professional summary
Daniel Gordon Maughan 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 1997. Prior to being barred, Daniel had worked at 5 firms, which includes FINANCIAL WEST GROUP, WEDBUSH SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - August 17, 2017
FINANCIAL WEST GROUP
May 18, 2010 - August 17, 2017
FINANCIAL WEST GROUP
February 8, 2002 - May 12, 2010
WEDBUSH SECURITIES INC.
August 16, 2001 - January 29, 2002
METROPOLITAN LIFE INSURANCE COMPANY
August 16, 2001 - January 29, 2002
MSI FINANCIAL SERVICES, INC.
March 18, 1997 - March 2, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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