Daniel K. Crookshanks
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 Kevin Crookshanks, who also goes by Daniel Kevin Crookshanks, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE 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
October 31, 2023 - February 20, 2024
UBS FINANCIAL SERVICES INC.
January 14, 2023 - February 20, 2024
UBS FINANCIAL SERVICES INC.
July 8, 2010 - February 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2010 - February 14, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2010 - July 6, 2010
NEW ENGLAND SECURITIES
March 25, 2010 - July 6, 2010
NEW ENGLAND SECURITIES
April 9, 2009 - February 25, 2010
J.P. MORGAN SECURITIES LLC
April 9, 2009 - February 25, 2010
J.P. MORGAN SECURITIES LLC
February 12, 2008 - April 22, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 12, 2008 - April 22, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 2, 2007 - December 4, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 4, 2007
MORGAN STANLEY & CO. LLC
August 12, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
August 11, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
September 18, 2003 - April 14, 2004
FIFTH THIRD SECURITIES, INC.
May 6, 2002 - September 16, 2003
PRUCO SECURITIES, LLC.
August 16, 1999 - August 16, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
Series 7TO
Date: 1/13/2023
General Securities Representative ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
