Daniel R. Iczkowski
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 Raymond Iczkowski was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1997. Daniel had worked at 22 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 4 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
December 4, 2023 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
December 4, 2023 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
December 4, 2023 - August 1, 2025
SCF SECURITIES, INC.
December 4, 2023 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
December 4, 2023 - August 1, 2025
GROVE POINT INVESTMENTS, LLC
December 4, 2023 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
December 4, 2023 - August 1, 2025
CADARET, GRANT & CO., INC.
November 9, 2017 - January 31, 2023
PRUCO SECURITIES, LLC.
June 30, 2016 - September 30, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
August 9, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
July 1, 2005 - August 5, 2005
TOWER SQUARE SECURITIES, INC.
October 2, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 2, 2003 - September 5, 2013
WALNUT STREET SECURITIES, INC.
October 2, 2003 - January 2, 2015
NEW ENGLAND SECURITIES
October 2, 2003 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
June 26, 2001 - March 1, 2002
BNY MELLON SECURITIES LLC
August 7, 2000 - December 22, 2000
QUICK & REILLY, INC.
September 24, 1999 - August 7, 2000
FLEET ENTERPRISES, INC.
September 24, 1999 - April 25, 2001
FIS SECURITIES, INC.
June 2, 1999 - November 30, 2001
FIRSTAR INVESTMENT SERVICES,INC.
May 25, 1999 - March 1, 2002
CONSECO SECURITIES, INC.
November 3, 1998 - May 17, 1999
FIRST UNION BROKERAGE SERVICES, INC.
April 18, 1997 - July 1, 1998
MORGAN STANLEY DW 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
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
