Daniel B. Saunders
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 Bradley Saunders, who also goes by Daniel B Saunders, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2021 - July 15, 2026
NATIONWIDE FUND DISTRIBUTORS LLC
October 4, 2021 - August 2, 2024
NATIONWIDE INVESTMENT ADVISORS, LLC
October 1, 2021 - October 14, 2021
NATIONWIDE INVESTMENT SERVICES CORPORATION
April 28, 2020 - August 6, 2021
INVESCO ADVISERS, INC.
April 27, 2020 - August 6, 2021
INVESCO DISTRIBUTORS, INC.
January 3, 2012 - August 1, 2019
FSC SECURITIES CORPORATION
December 16, 2011 - August 1, 2019
OSAIC SERVICES, INC.
December 16, 2011 - August 1, 2019
OSAIC WEALTH, INC.
December 16, 2011 - August 1, 2019
FSC SECURITIES CORPORATION
November 14, 2005 - December 2, 2011
TRUIST INVESTMENT SERVICES, INC.
July 29, 2005 - December 2, 2011
TRUIST INVESTMENT SERVICES, INC.
January 1, 2005 - July 18, 2005
NORTHWESTERN MUTUAL INVESTMENT 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
NATIONWIDE FUND DISTRIBUTORS LLC
CRD#: 25910 / SEC#: , 8-42135
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS INC. | OWNER | |
| ANIANO, JOSEPH NICHOLAS | SENIOR VICE PRESIDENT, INVESTMENT MANAGEMENT GROUP | 4303290 |
| BUTSON, HOLLY ANN | CHIEF COMPLIANCE OFFICER | 724115 |
| CUMMINGS, LELAND THOMAS | CHAIRMAN, DIRECTOR & PRESIDENT | 2523271 |
| GINNAN, STEVEN A. | MANAGER | 6984613 |
| HAWLEY, CRAIG ALAN | MANAGER | 4499105 |
| RIMES, STEPHEN RANDOLPH | VP, ASSOCIATE GENERAL COUNSEL AND ASSISTANT SECRETARY | 4138948 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 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.
