Daniel W. Bustamonti
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 William Bustamonti, who also goes by Daniel William Bustomonti, Daniel Bustomonti, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 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
May 18, 2015 - October 18, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 15, 2015 - October 18, 2016
TD AMERITRADE, INC.
April 23, 2015 - October 18, 2016
TD AMERITRADE, INC.
April 18, 2014 - June 24, 2014
COLUMBUS ADVISORY GROUP, LTD.
June 6, 2013 - July 1, 2013
C.K. COOPER & COMPANY, INC.
June 28, 2012 - May 30, 2013
LEGEND SECURITIES, INC.
January 26, 2011 - June 21, 2012
BROOKSTONE SECURITIES, INC.
February 19, 2010 - January 27, 2011
AEGIS CAPITAL CORP.
May 13, 2003 - March 2, 2010
GUNNALLEN FINANCIAL, INC
May 29, 2002 - May 13, 2003
NATIONAL SECURITIES CORPORATION
February 14, 2001 - May 17, 2002
U.S. SECURITIES & FUTURES CORP.
November 11, 1998 - July 1, 1998
LADENBURG CAPITAL MANAGEMENT INC.
November 11, 1998 - November 13, 2000
SHARPE CAPITAL, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
