Daniel T. Delac
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 T Delac, who also goes by Daniel Thomas Delac, Daniel Delac, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2013 - January 15, 2016
TPB WEALTH ADVISORS, LLC
April 4, 2013 - May 21, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
March 21, 2013 - May 21, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
October 28, 2010 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2010 - January 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1999 - April 19, 2000
CAPTRUST FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TPB WEALTH ADVISORS, LLC
CRD#: 150508 / SEC#: 801-70282
Contact information
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2023 | ||
| 01/28/2022 |
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.
