Daniel Walter Sogluizzo
Professional Summary
Daniel Walter Sogluizzo was a registered financial advisor. Daniel was a previously registered financial professional and started their career in finance 2001 - 2001. Daniel had worked at 1 firm and has passed the Series 63 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST INSTITUTIONAL SECURITIES CORP. | FIRST INSTITUTIONAL SECURITIES, L.L.C.
Contact Information
Established
New Jersey since 01/31/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLUBSIDE LIMITED, L.L.C. | NONE (OWNER ONLY) | — |
| GORE, BERT ELWOOD JR | COO / INSTITUTIONAL SALES MANAGER | 501978 |
| WEST DOVER ASSOCIATES, L.L.C. | NONE (OWNER ONLY) | — |
| BOARDMAN, MATTHEW MILES | FIXED INCOME TRADING MANAGER/RETAIL SALES MANAGER | 843666 |
| GOLDBERG, STANLEY ROBERT | CEO | 224038 |
| LISS, GEORGE | PRESIDENT | 601837 |
| COLAIACOVO, DAREN JOHN | EMPLOYEE | 2186242 |
| EARNHARDT, ERIC MICHAEL | CHIEF COMPLIANCE OFFICER | 1855856 |
| EDGAR, DAVID WILLIAM | EMPLOYEE | 1004169 |
| ELLENTUCK, TODD MICHAEL | EMPLOYEE | 1321452 |
| FERGANG, SCOTT DAVID | EMPLOYEE | 1758758 |
| GOLDBERG, HOWARD | EMPLOYEE | 2800828 |
| KNIPFELBERG, CHERYL KATHLEEN | EMPLOYEE | 724231 |
| KOLBEN, PETER MEYER | EMPLOYEE | 1919765 |
| LAZARE, DARREN EVAN | EMPLOYEE | 2378165 |
| LEVINE, THOMAS RICHARD | EMPLOYEE | 713769 |
| LIBIN, STEVEN BRUCE | EMPLOYEE | 1339503 |
| LOONEY, EDWARD JOSEPH JR | SROP / CROP | 1009933 |
| NEWMAN, MARC DOUGLAS | EMPLOYEE | 870528 |
| PICARELLO, LARRY PAUL | CHIEF FINANCIAL OFFICER / FINOP | 1330946 |
| PROST, GEORGE L | EMPLOYEE | 1334567 |
| QUERQUES, JEFFREY DANA | EMPLOYEE | 1108636 |
| QUINN, DAVID BRIAN | EMPLOYEE | 1139076 |
| SALINO, MATTHEW RAYMOND | EMPLOYEE | 1004340 |
| SALZMAN, BENNETT ROY | EMPLOYEE | 1509040 |
| SCOTT, KEVIN | EMPLOYEE | 2677403 |
| SHERMAN, MERVIN ALLEN | EMPLOYEE | 1109362 |
| SPERBER, LAWRENCE SCOTT | EMPLOYEE | 1311458 |
| STEIN, DAVID HOWARD | EMPLOYEE | 1316506 |
| SULLIVAN, JAMES KEVIN | EMPLOYEE | 1163104 |
| WEINSTEIN, MICHAEL JAY | EMPLOYEE | 1037475 |
| ZYMET, MARK JAY | EMPLOYEE | 871701 |
Disclosures
Regulatory Event
2Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
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