Daniel B. Farrelly
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 Brian Farrelly was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2004. Daniel had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2023 - April 4, 2023
FIDELITY & GUARANTY SECURITIES, LLC
April 28, 2020 - December 8, 2022
INTEGRITY ALLIANCE, LLC.
February 28, 2017 - August 7, 2019
ATHENE SECURITIES, LLC
January 9, 2013 - November 8, 2013
SII INVESTMENTS, INC.
October 13, 2004 - February 2, 2011
EQUITABLE DISTRIBUTORS, 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
Series 99TO
Date: 3/30/2023
Operations Professional ExaminationCurrent Firm
FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
Red Flags
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