Daniel J. Difulvio
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 James Difulvio, who also goes by Dan Difulvio, Danny Difulvio, was a registered financial advisor .
Daniel is a previously registered financial advisor and started their career in finance in 2005. Daniel had worked at 3 firms and has passed the Series 66, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2005 - December 31, 2007
STALLION CAPITAL MANAGEMENT LLC
September 14, 2005 - June 13, 2006
AURA FINANCIAL SERVICES, INC.
March 22, 2005 - July 27, 2005
CHICAGO INVESTMENT GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current firm
No current employment
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.
