Daniel J. Garbacz
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 John Garbacz was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1997. Daniel had worked at 4 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 28, Series 4, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2011 - August 8, 2023
THE GARBACZ GROUP, INC.
November 24, 2009 - August 8, 2023
THE GARBACZ GROUP, INC.
April 12, 2007 - July 23, 2008
CHARLES SCHWAB & CO., INC.
January 11, 2007 - July 23, 2008
CHARLES SCHWAB & CO., INC.
October 6, 2004 - December 4, 2006
TRANSAMERICA CAPITAL, LLC
August 7, 2003 - October 4, 2004
THE GARBACZ GROUP, INC.
September 18, 2001 - July 18, 2003
TRANSAMERICA CAPITAL, LLC
February 16, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
January 1, 1999 - January 24, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 7, 1997 - July 29, 1998
THE GARBACZ GROUP, INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 6/3/2016
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THE GARBACZ GROUP, INC.
CRD#: 26104 / SEC#: 801-67045, 8-42366
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHA A GARBACZ BUSINESS TRUST U/T/A 8/22/2007 | OWNER | |
| GARBACZ, JOSEPH ALBERT | CHAIRMAN OF THE BOARD, TRUSTEE, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 712738 |
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 4,880,201 |
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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