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DL

Daniel T. Levine

Some features on this profile are disabled
CRD#: 2874319
DL

Professional summary

Daniel Todd Levine was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Daniel had worked at 5 firms, which includes FFEC WEALTH PARTNERS LLC, MORGAN STANLEY, UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 5, 2018 - August 7, 2018

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
GREENWOOD VILLAGE, CO
Past

July 5, 2018 - August 7, 2018

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
GREENWOOD VILLAGE, CO
Past

June 7, 2013 - August 2, 2018

MORGAN STANLEY

RIA
CRD#: 149777
GREENWOOD VILLAGE, CO
Past

June 7, 2013 - August 2, 2018

MORGAN STANLEY

BD
CRD#: 149777
GREENWOOD VILLAGE, CO
Past

February 15, 2008 - June 17, 2013

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LITTLETON, CO
Past

February 15, 2008 - June 17, 2013

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LITTLETON, CO
Past

December 6, 2002 - February 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ENGLEWOOD, CO
Past

December 6, 2002 - February 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ENGLEWOOD, CO
Past

January 1, 1999 - December 12, 2002

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
GREENWOOD VILLAGE, CO
Past

May 20, 1997 - December 12, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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
IAR
Series 65
Date: 5/27/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1997
General Securities Representative Examination

Current Firm

FW
FFEC WEALTH PARTNERS LLC
155 PRIVATE WEALTH MANAGEMENT | YS ASSET MANAGEMENT | YANOFSKY WEALTH MANAGEMENT | WELLS ASSET MANAGEMENT | TAYLOR INSURANCE & FINANCIAL SERVICES | SPICER PRIVATE WEALTH MANAGEMENT | SITZMAN BONNER WEALTH MANAGEMENT | SIMONSON WEALTH MANAGEMENT | SILVER BIRCH ADVISORS | SELF WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | PEAK FINANCIAL MANAGEMENT | NOWFEL PRIVATE WEALTH MANAGEMENT | MULENFELD & HUISH | LINDAU CAPITAL MANAGEMENT | HERMES WEALTH MANAGEMENT | HAWKPEAK CONSULTING GROUP | HALL WEALTH STRATEGIES | GIBSON WEALTH MANAGEMENT | GIAGER WEALTH MANAGEMENT | FIRST FINANCIAL OF ASPEN | FIRST FINANCIAL EQUITY CORPORATION | FIDUCIARY 401K ADVISORS | FFEC WEALTH PARTNERS LLC | FFEC | EXECUTIVE WEALTH PLANNING | ESPINOZA PRIVATE WEALTH MANAGEMENT | EDWARD GEORGE WEALTH MANAGEMENT | DKGBFINANCIAL GROUP | DISCIPLINED ADVISORS GROUP | DILDAY & ASSOCIATES | CARDIEL CAPITAL MANAGEMENT | BARON FINANCIAL GROUP | ARTFX FINANCIAL PLANNING

CRD#: 16507 / SEC#: 801-63970, 8-34082

BD
Terminated by SEC on 10/22/2022
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Contact information

Main Address
7047 E Greenway Parkway Suite 350, Scottsdale, AZ 85254
Mailing Address
Phone number
(480) 951-0079
Established
Arizona since 06/02/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
174

Documents

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (2/3/2022)
FORM ADV 2A (2/3/2022)

Direct owners and executive officers

NamePositionCRD#
SITZMAN, ANDREW LEECFO, CCO6877630

Regulatory assets under management

Total Number of Accounts5,755
AUM (Assets Under Management)$ 2,371,850,816

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

FFEC WEALTH PARTNERS LLC

CRD#: 16507

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