Daniel R. Rodriguez
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 Riess Rodriguez, who also goes by Daniel Rodriguez, VIctor Daniel Rodriguez, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 7 firms and has passed the Series 66, Series 63, SIE 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
August 1, 2014 - June 25, 2015
FORTUNE FINANCIAL SERVICES, INC.
November 30, 2012 - August 13, 2015
SEASIDE FINANCIAL & INSURANCE SERVICES
November 2, 2012 - August 5, 2014
FINANCIAL TELESIS INC
February 29, 2012 - June 19, 2012
REASON FINANCIAL
June 6, 2011 - June 29, 2012
1ST GLOBAL CAPITAL CORP.
December 18, 2007 - June 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 26, 2006 - June 16, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 17, 2006 - July 25, 2006
VOYA FINANCIAL PARTNERS, 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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
