Daniel J. Offen
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 Jay Offen was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1967. Daniel had worked at 6 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2005 - February 1, 2013
FFEC WEALTH PARTNERS LLC
December 8, 2000 - June 23, 2005
RBC CAPITAL MARKETS, LLC
June 25, 1996 - December 21, 2000
PIPER SANDLER & CO.
August 9, 1994 - June 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 1, 1985 - August 10, 1994
GRUNTAL & CO., L.L.C.
January 10, 1967 - October 1, 1985
JII 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
PC
Date: 5/1/1977
AMEX Put and Call ExamSeries 1
Date: 1/9/1967
Registered Representative ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
