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DB

Daniel Bain

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CRD#: 4986122
DB

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 Bain, who also goes by Dan Bain, Daniel J Bain, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Bain | Daniel J Bain

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 22, 2023 - May 30, 2024

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

August 20, 2018 - May 28, 2024

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
Phoenix, AZ
Past

July 26, 2017 - August 31, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

July 13, 2017 - August 31, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ
Past

March 18, 2013 - December 8, 2015

REALTY CAPITAL SECURITIES, LLC

BD
CRD#: 145454
SCOTTSDALE, AZ
Past

February 10, 2012 - March 21, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHANDLER, AZ
Past

February 3, 2012 - March 21, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHANDLER, AZ
Past

August 17, 2010 - December 12, 2011

LINCOLN INVESTMENT

BD
CRD#: 519
CINCINNATI, OH
Past

October 9, 2008 - July 13, 2010

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SCOTTSDALE, AZ
Past

August 18, 2005 - July 12, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/24/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/17/2005
General Securities Representative Examination

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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.

Company Information

ATHENE SECURITIES, LLC

CRD#: 36867

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