Daniel D. Misch
Professional summary
Daniel David Misch was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daniel is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Daniel had worked at 7 firms, which includes CHASE INVESTMENT SERVICES CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, KESTRA INVESTMENT SERVICES LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2007 - January 21, 2009
CHASE INVESTMENT SERVICES CORP.
September 23, 2005 - January 21, 2009
CHASE INVESTMENT SERVICES CORP.
September 23, 2004 - July 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2003 - September 15, 2004
KESTRA INVESTMENT SERVICES, LLC
January 14, 2002 - April 17, 2003
METROPOLITAN LIFE INSURANCE COMPANY
January 14, 2002 - April 17, 2003
MSI FINANCIAL SERVICES, INC.
May 15, 2001 - January 8, 2002
IDS LIFE INSURANCE COMPANY
May 15, 2001 - January 8, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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