Daniel E. Woodhull

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CRD#: 2832575

Professional summary

Daniel Ellis Woodhull 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 advisor and started their career in finance in 1997. Prior to being barred, Daniel had worked at 6 firms, which includes HARVEST INVESTMENT SERVICES LLC, CONCOURSE FINANCIAL GROUP SECURITIES INC., ONEAMERICA SECURITIES INC., AMERICAN UNITED LIFE INSURANCE COMPANY, MACKEN SECURITIES INC., AVANTAX INVESTMENT SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Woodhull

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.

The advisor shows no other business activity.

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®

None

Experience

Past

June 7, 2012 - November 4, 2013

HARVEST INVESTMENT SERVICES, LLC

RIA

CRD#: 159390

OAKBROOK TERRACE, IL

Past

December 9, 2010 - November 14, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

CITRUS HEIGHTS, CA

Past

January 25, 2007 - October 29, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

February 26, 2003 - January 26, 2007

ONEAMERICA SECURITIES, INC.

CRD#: 4173

CITRUS HEIGHTS, CA

Past

January 8, 2002 - January 22, 2003

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

CITRUS HEIGHTS, CA

Past

January 2, 2002 - January 22, 2003

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

August 28, 2001 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

CRD#: 1075

INDIANAPOLIS, IN

Past

August 28, 2001 - December 31, 2001

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

February 19, 1999 - July 5, 2001

MACKEN SECURITIES, INC.

CRD#: 13390

ROSEVILLE, CA

Past

February 27, 1997 - February 1, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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: 12/1/2010

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/26/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HARVEST INVESTMENT SERVICES, LLC

CRD#: 159390 / SEC#: 801-79232

RIA

Registered Investment Advisory firm - (2/24/2014 Approved)

Arizona

Registered Investment Advisory firm - (3/21/2014 Terminated)

California

Registered Investment Advisory firm - (4/20/2014 Terminated)

Illinois

Registered Investment Advisory firm - (2/24/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2014 Terminated)

Michigan

Registered Investment Advisory firm - (3/21/2014 Terminated)

Texas

Registered Investment Advisory firm - (3/21/2014 Terminated)

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Contact information

Main Address

1 Transam Plaza Drive Suite 230, Oakbrook Terrace, IL 60181-4285

Mailing Address

Phone number

(630) 613-9230

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/1/2025)

APPENDIX 1: WRAP BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,335
AUM (Assets Under Management)	$ 534,204,368

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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Firm Stability Insights

Daniel E. Woodhull

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

AMERICAN UNITED LIFE INSURANCE COMPANY

ONEAMERICA SECURITIES, INC.

MACKEN SECURITIES, INC.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

HARVEST INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/1/2010

Series 65

Date: 4/30/1999

Series 63

Date: 1/29/1997

Series 7

Date: 2/18/1999

Series 6

Date: 2/26/1997

Current Firm

HARVEST INVESTMENT SERVICES, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HARVEST INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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