Daina Lazda
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.
Daina Lazda, who also goes by Daina Braunfelds, was a registered financial professional .
Daina is a previously registered financial professional and started their career in finance in 1998. Daina had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2015 - April 15, 2016
SLD AMERICA EQUITIES, INC.
December 3, 2012 - March 13, 2015
HARTFORD FUNDS DISTRIBUTORS, LLC
March 8, 2011 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 20, 2010 - March 7, 2011
SEI INVESTMENTS DISTRIBUTION CO.
November 7, 2006 - June 3, 2008
DIRECTED SERVICES LLC
September 18, 2001 - May 18, 2006
DIRECTED SERVICES LLC
April 8, 1999 - July 27, 2001
WELLS FARGO CLEARING SERVICES, LLC
August 21, 1998 - March 17, 1999
IDS LIFE INSURANCE COMPANY
August 21, 1998 - March 17, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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
SLD AMERICA EQUITIES, INC.
CRD#: 36259 / SEC#: , 8-47089
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITY LIFE OF DENVER INSURANCE COMPANY | PARENT OF BROKER/DEALER | |
| ANDERSON, KELLY MARIE | DEPUTY COMPLIANCE OFFICER | 1819119 |
| BURNS, BRANDI JO | PRESIDENT | 5862366 |
| DIXIT, ANURAKT | CHAIR/DIRECTOR | 8029030 |
| ESLINGER, CHAD MICHAEL | CHIEF COMPLIANCE OFFICER | 4182299 |
| KILIAN, CONRAD JOHANN | FINANCIAL AND OPERATIONS PRINCIPAL | 6214509 |
| SOCHA, KEVIN ROBERT | DIRECTOR | 7241694 |
| WIESE, AMY JO | DIRECTOR | 5928677 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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