DE
Daniel N. Engelhardt
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CRD#: 2864948
DE
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 Norman Engelhardt, who also goes by Dan Engelhardt, Daniel Engelhardt, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 53, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Engelhardt | Daniel Engelhardt
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.
*ENGELHARDT FINANCIAL,333 WESTCHESTER AVENUE,SOUTH BUILDING,SUTIE 3302,WHITE PLAINS,NY 10604,INVESTMENT RELATED,DBA FOR NLG BUSINESS,FINANCIAL REPRESENTATIVE,3/15/15,16HR/MTH,DURING TRADE HRS,I AM AN AGENT FOR SEVERAL INSURANCE COMPANIES TO SELL LIFE,DI,LTC,HEALTH AND DO SO UNDER ENGELHARDT FINANCIAL DBA,MARKETING*DANIEL ENGELHARDT,5 INTERLOCHEN ROAD,CARMEL,NY 10512,10/04/2016,ONGOING,NOT INV REL,NYS MONITOR-PROCTOR EXAMS,PROCTOR,SIGN IN AND OUT OF EXAMS,NOT DURING TRD/HR *THE HURLEY CAMP FUND,PO BOX 907,HUNTINGTON, NY 11743,NON INV,ON GOING,BOARD MEMBER,HELP CHILDREN GO TO SUMMER CAMP,02/03/2017,HELP FIND CHILDREN WHO MEET QUALIFICATIONS TO BE SUBSIDIZED TO GO TO CAMP SHIRE SUMMER CAMP-UNPAID POSITION, NOT DURING TRD/HRS, 0%*DAN ENGELHARDT,5 INTERLOCHEN ROAD,CARMEL,NY 10512,NOT INV RELATED,ONGOING,NOT DURING TRD/HRS,03/01/2017,SELL MY ORIGINAL MUSIC,UPLOAD MY MUSIC TO MY WEBSITE,MAINTAIN WEBSITE,0% *PHOENIX RISING,5 INTERLOCHEN ROAD,CARMEL,NY 0512,ONGOING,06/12/2017,ORIGINATOR,NOT INV REL,INTERVIEW SUCCESSFUL PEOPLE IN TRI-STATE AREA,MEANT FOR COLLEGE STUDENTS,IDENTIFY AND CONTACT GOOD CANDIDATES,INTERVIEW,POST PODCAST TO ITUNES AND OTHER DIRECTORIES,10%,NOT DURING TRD/HRS *DAN ENGELHARDT,5 INTERLOCHEN ROAD,CARMEL NY 10512,NOT INV/REL,10/01/2017,ONGOING,ECOMMERCE, IDENTIFY PRODUCTS TO SELL ONLINE,DROP SHOPPING,NOT DURING TRD/HRS,0%.MUSIC FROM THE HARDT, LLC,5 INTERLOCHEN ROAD,CARMEL, NY 10512,NOT INV REL,ONGOING,05/23/2019,NOT DURING TRD/HRS,OWNER,MARKET ORIGINAL MUSIC AND RELATED MERCHANDISE THROUGH SOCIAL MEDIA,0%*DAN ENGELHARDT.COM,5 INTERLOCHEN ROAD,CARMEL,NY 10512,ONGOING,06/02/2019,SELL ORIGINAL MUSIC,NOT INV REL,NOT DURING TRD/HRS,0%*FACEPOEMS,5 INTERLOCHEN ROAD,CARMEL,NY 10512,04/20/2020,ONGOING,NOT INV REL,MARKET&PROMOTE FACE POEMS - SIMPLY DRAWN FACES WITH ATTACHED POEMS,PARTNER, NOT DURING TRD/HRS,0%*SPEAKING FROM THE HARDT,5 INTERLOCHEN ROAD,CARMEL,NY 10512,08/01/2020,PODCAST-INTERVIEWS,OWNER,NOT INV REL,NOT DURING TRD/HRS,0%*DANIEL ENGELHARDT,5 INTERLOCHEN ROAD, CARMEL,NY 10512,NOT INV REL,NOT DURING TRD/HRS,01/01/2023,ONGOING,CREATE AND SELL MOILE APPS,0%*THOROUGHBRED ADVISORS,333 WESTCHESTER AVENUE,SOUTH BUILDING SUITE 3302,WHITE PLAINS, NY 10604,INV REL,AGENT,INSURANCE,DURING TRD/HRS,01/01/2024,100%*SOFA SOCIETY FOR FINANCIAL AWARENESS,333 WESTCHESTER AVE., SOUTH 3302,WHITE PLAINS,NY 10604,02/01/2024,ONGOING,NOT INV REL,NOT DURING TRD/HRS,PRESENTER,SPEAKER AT EDUCATIONAL PRESENTATIONS,10% .
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®
NoneExperience
Past
June 22, 2021 - April 22, 2025
EQUITY SERVICES, INC.
RIA
CRD#: 265
WHITE PLAINS, NY
Past
June 11, 2013 - April 22, 2025
EQUITY SERVICES, INC.
BD
CRD#: 265
WHITE PLAINS, NY
Past
June 2, 2009 - May 21, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TARRYTOWN, NY
Past
March 4, 1999 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 4, 1999 - April 2, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
WHITE PLAINS, NY
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".
EQUITY SERVICES, INC.
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
RIA
Registered Investment Advisory firm - SEC (7/9/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
EQUITY SERVICES, INC.
360 DEGREE PANORAMIC WEALTHVIEW | FIRST AMERICAN FINANCIAL | ESI FINANCIAL ADVISORS | EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
RIA
Registered Investment Advisory firm - SEC (7/9/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One National Life Drive, Montpelier, VT 05604
Mailing Address
One National Life Drive, Montpelier, VT 05604
Phone number
(800) 344-7437
Established
Vermont since 10/07/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
470
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
