Daniel P. Todzia
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 Phillip Todzia was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1973. Daniel had worked at 6 firms and has passed the Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1985 - March 29, 2019
SOUTHEAST FINANCIAL PLANNING AND CONSULTING, INC.
May 16, 1985 - March 18, 1992
INVESTACORP, INC.
June 22, 1981 - May 31, 1985
LEHMAN BROTHERS INC.
February 24, 1978 - July 1, 1981
MORGAN STANLEY DW INC.
January 28, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
August 1, 1973 - March 27, 1974
DUPONT WALSTON, INCORPORATED
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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 7/24/1973
Registered Representative ExaminationSeries 40
Date: 3/6/1976
Registered Principal ExaminationSeries 12
Date: 2/28/1976
NYSE Branch Manager ExaminationCurrent Firm
SOUTHEAST FINANCIAL PLANNING AND CONSULTING, INC.
CRD#: 131587 / SEC#:
Contact information
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.
