Danny L. Kiick
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.
Danny Lee Kiick, who also goes by Dan Kiick, Daniel Kiick, was a registered financial advisor .
Danny is a previously registered financial advisor and started their career in finance in 1998. Danny had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2003 - June 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 18, 2003 - June 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 28, 2002 - August 18, 2003
WELLS FARGO INVESTMENTS, LLC
January 14, 2002 - August 18, 2003
WELLS FARGO INVESTMENTS, LLC
October 31, 2000 - December 31, 2001
CUNA BROKERAGE SERVICES, INC.
July 12, 1999 - May 19, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 19, 1998 - July 12, 1999
BA INVESTMENT SERVICES, 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
BANC OF AMERICA INVESTMENT SERVICES, INC.
CRD#: 16361 / SEC#: , 8-33805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERRILL LYNCH & CO., INC. | SHAREHOLDER | |
| BENSON, MARK JARRETT | PRESIDENT/CEO/DIRECTOR/CHAIRMAN | 1915552 |
| CALL, JOHN SCOTT | SVP/CHIEF COMPLIANCE OFFICER/DIRECTOR OF COMPLIANCE | 2815968 |
| NEWTH, RONALD JOSEPH | CHIEF OPERATING OFFICER/DIRECTOR | 1454390 |
| OSAKI, ISAAC | CHIEF LEGAL OFFICER | 4910551 |
| ROMANO, JOHN GARY | CFO/DIRECTOR | 5078610 |
Disclosures
| Regulatory Event | 53 |
| Civil Event | 1 |
| Arbitration | 68 |
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.
