Daniel J. Lauletta

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CRD#: 2659123

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 James Lauletta, CFP® was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Independent Insurance Agent Lauletta financial - Disability Equity Indexed Annuities Fixed Annuities Indexed Universal Life Life/Accident/Health Long-Term Care from Residential address - 2 security hours and 2 non security hours - since 01/2016

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

June 28, 2022 - September 23, 2022

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

LIVERPOOL, NY

Past

May 31, 2022 - June 22, 2022

SUPREME ALLIANCE LLC

CRD#: 45348

CHARLOTTE, NC

Past

March 25, 2017 - April 12, 2022

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CLEVELAND, OH

Past

March 25, 2017 - April 12, 2022

MML INVESTORS SERVICES, LLC

CRD#: 10409

CLEVELAND, OH

Past

September 19, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BROADVIEW HEIGHTS, OH

Past

September 7, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BROADVIEW HEIGHTS, OH

Past

September 3, 2013 - September 6, 2016

CETERA WEALTH SERVICES, LLC

CRD#: 13572

VALLEY VIEW, OH

Past

October 2, 2012 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

VALLEY VIEW, OH

Past

October 1, 2012 - September 7, 2016

FINANCIAL MANAGEMENT STRATEGIES, INC.

RIA

CRD#: 120818

VALLEY VIEW, OH

Past

February 28, 2008 - October 8, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BEACHWOOD, OH

Past

February 26, 2008 - October 8, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

BEACHWOOD, OH

Past

January 13, 2004 - February 27, 2008

OSAIC FA, INC.

RIA

CRD#: 3978

CLEVELAND, OH

Past

January 8, 2004 - May 8, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 8, 2004 - February 27, 2008

OSAIC FA, INC.

CRD#: 3978

CLEVELAND, OH

Past

April 1, 2003 - December 31, 2003

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

September 1, 2000 - March 25, 2003

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

CINCINNATI, OH

Past

January 2, 1996 - September 1, 2000

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/24/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/27/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/31/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

404 Old Liverpool Rd, Liverpool, NY 13088

Mailing Address

P.o. Box 2365, Liverpool, NY 13089

Phone number

(315) 652-4426

Established

New York since 12/15/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RICHARD J CARLESCO JR (3/21/2025)

IBN FN PART 2A BROCHURE (3/21/2025)

CHRIS AVERY FORM 2B (3/21/2025)

FRED KAHN FORM 2B (3/21/2025)

MARK LEVITCH FORM 2B (3/21/2025)

SUSAN LOHMILLER FORM 2B (3/21/2025)

PATRICK DELANEY FORM 2B (3/21/2025)

RALPH PLINE FORM 2B (3/21/2025)

DANIEL RIPLEY ADV PART 2B (3/21/2025)

DEAN MACRIS FORM 2B (3/21/2025)

SAMUEL BIANCHI FORM 2B (3/21/2025)

ELLIOT SCHRAG FORM 2B (3/21/2025)

HARJIT ARORA PHD FORM 2B (3/21/2025)

PETER BIFFARELLA FORM 2B (3/21/2025)

SCOTT CURTIS FORM 2B (3/21/2025)

THERESA LYNN ELLIS FORM 2B (3/21/2025)

TODD GLENN FORM 2B (3/21/2025)

CHAD COLBERT FORM 2B (3/21/2025)

STEVE YAZELL FORM 2B (3/21/2025)

F. WILLIAM LIBARDONI JR. FORM 2B (3/21/2025)

ERIK LENTINEN FORM 2B (3/21/2025)

JOHN MAHSHIE FORM 2B (3/21/2025)

R STEVENS FORM 2B (3/21/2025)

HOWARD MODELL- FORM 2B BROCHURE (3/21/2025)

LOREN WOOD FORM 2B- BROCHURE (3/21/2025)

ROBERT D'AGOSTA FORM 2B- BROCHURE (3/21/2025)

ANDREW CAMARDA- FORM 2B BROCHURE (3/21/2025)

KRISTINA SINITSIN FORM 2B- BROCHURE (3/21/2025)

ROBERT TACKABURY FORM 2B- BROCHURE (3/21/2025)

ROBERT STAR FORM 2B- BROCHURE (3/21/2025)

ROBERT MOSKWA FORM 2B (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLESCO, RICHARD JAMES JR	CHIEF EXECUTIVE OFFICER, CHEIF FINANCIAL OFFICER	2135988
AVERY, CHRISTOPHER RYAN	CHIEF OPERATIONS OFFICER	4706653
EVANS, TIMOTHY EDWARD	EQUITY PARTNER	6259284
BODKIN, GREGORY PATRICK	CHIEF COMPLIANCE OFFICER	3008389

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 180,458,175

Disclosures

Regulatory Event

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.

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Daniel J. Lauletta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUPREME ALLIANCE LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

FINANCIAL MANAGEMENT STRATEGIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

CAPITAL BROKERAGE CORPORATION

W&S BROKERAGE SERVICES, INC.

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

IBN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/22/2008

Series 63

Date: 12/1/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/24/2003

Series 6

Date: 12/27/1995

Series 26

Date: 10/31/2000

Current Firm

IBN FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

IBN FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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