Daniel D. Caycedo
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 Dario Caycedo was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 5 firms and has passed the Series 65, 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
June 30, 2016 - December 6, 2024
GIRARD INVESTMENT SERVICES, LLC
January 21, 2014 - July 8, 2014
CETERA INVESTMENT ADVISERS LLC
July 9, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
June 26, 2012 - July 3, 2014
CETERA INVESTMENT SERVICES LLC
February 10, 2011 - December 2, 2011
PNC WEALTH MANAGEMENT LLC
March 13, 2007 - December 2, 2011
PNC WEALTH MANAGEMENT LLC
April 23, 2001 - August 28, 2003
VANGUARD MARKETING CORPORATION
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
GIRARD INVESTMENT SERVICES, LLC
CRD#: 1834 / SEC#: 801-61159, 8-14145
Contact information
FINRA licenses (15 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNIVEST BANK AND TRUST CO. | HOLDING COMPANY | |
| COLON, LISA MARIE | PRINCIPAL OPERATIONS OFFICER | 2392261 |
| GEIBEL, DAVID WARREN | PRESIDENT | 2645082 |
| HELLINGS, THOMAS EDWIN | SVP, CHIEF COMPLIANCE OFFICER | 2128581 |
| JOHNSON, DARREN GLEN | VP, FINANCIAL OFFICER | 4102844 |
| VANSANT, WILLIAM FRANCIS III | SVP, MANAGING DIRECTOR | 4511525 |
Disclosures
| Regulatory Event | 2 |
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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