Danny N. Bentley
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 Neal Bentley was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1999. Danny had worked at 9 firms and has passed the Series 63, SIE 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
October 11, 2011 - December 31, 2015
DFPG INVESTMENTS, LLC
March 28, 2011 - September 30, 2011
TRIAD ADVISORS LLC
January 22, 2008 - March 16, 2011
KEY INVESTMENT SERVICES LLC
January 18, 2006 - August 3, 2007
KEY INVESTMENT SERVICES LLC
August 20, 2004 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
November 28, 2003 - July 23, 2004
BANC ONE SECURITIES CORPORATION
April 17, 2002 - July 15, 2002
VOYA FINANCIAL ADVISORS, INC.
April 12, 2002 - May 28, 2002
WORLD GROUP SECURITIES, INC.
April 17, 2001 - April 12, 2002
WMA SECURITIES, INC.
April 3, 2001 - April 16, 2001
UNITED SECURITIES ALLIANCE, INC.
November 4, 1999 - March 29, 2001
WMA SECURITIES, 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
DFPG INVESTMENTS, LLC
CRD#: 155576 / SEC#: 801-107896, 8-68730
Contact information
FINRA licenses (52 States and Territories)
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.
