Daniel R. Lifshey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel R Lifshey, who also goes by Daniel Robert Lifshey, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2018 - July 25, 2024
NUVEEN SECURITIES, LLC
March 30, 2015 - December 31, 2017
FRANKLIN DISTRIBUTORS, LLC
April 30, 2012 - March 24, 2014
ALPS DISTRIBUTORS, INC.
September 29, 2010 - March 8, 2012
ALLIANCEBERNSTEIN INVESTMENTS, INC.
September 9, 2005 - May 11, 2010
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 27, 1995 - September 27, 2004
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS 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
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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