Daniel R. Sciortino
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 Robert Sciortino, who also goes by Daniel R Sciortino, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1996. Daniel had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - July 23, 2021
ALLSPRING FUNDS DISTRIBUTOR, LLC
November 20, 2008 - September 7, 2012
FIDELITY BROKERAGE SERVICES LLC
November 19, 2008 - February 27, 2009
FIDELITY DISTRIBUTORS CORPORATION
March 17, 2008 - October 10, 2008
FIS BROKERAGE & SECURITIES SERVICES LLC
December 7, 2005 - August 24, 2007
FIDELITY BROKERAGE SERVICES LLC
January 1, 2002 - April 11, 2002
HEARTLAND SECURITIES CORP.
April 21, 1998 - January 29, 1999
HEARTLAND SECURITIES CORP.
August 1, 1996 - April 21, 1998
ICAPITAL MARKETS 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
Series 55
Date: 4/8/2008
Limited Representative-Equity Trader ExamCurrent Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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