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DL

Daniel G. Lund

Some features on this profile are disabled
CRD#: 5150893
DL

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 Grant Lund, who also goes by Daniel G Lund, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel G Lund

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

September 1, 2015 - September 30, 2015

TEXAS E&P PARTNERS, INC.

BD
CRD#: 127228
RICHARDSON, TX
Past

July 22, 2013 - May 5, 2014

NYLIFE SECURITIES LLC

BD
CRD#: 5167
DALLAS, TX
Past

October 24, 2012 - December 21, 2012

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
PAPILLION, NE
Past

October 17, 2012 - December 21, 2012

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA
CRD#: 3641
PAPILLION, NE
Past

October 8, 2010 - November 16, 2010

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
OMAHA, NE
Past

September 29, 2010 - November 16, 2010

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
OMAHA, NE
Past

July 29, 2009 - August 19, 2009

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
OMAHA, NE
Past

April 4, 2008 - October 16, 2008

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
OMAHA, NE
Past

March 27, 2008 - October 16, 2008

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
OMAHA, NE
Past

November 27, 2006 - June 11, 2007

TD AMERITRADE, INC.

RIA
CRD#: 7870
BELLEVUE, NE
Past

November 27, 2006 - June 11, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
BELLEVUE, NE
Past

August 31, 2006 - June 11, 2007

TD AMERITRADE, INC.

BD
CRD#: 7870
BELLEVUE, NE

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: 11/17/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/30/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/2006
General Securities Representative Examination

Current Firm

TE
TEXAS E&P PARTNERS, INC.
CHESTNUT ENERGY PARTNERS, INC. | TEXAS E&P PARTNERS, INC. | PLUMMER SECURITIES, INC. | CHESTNUT EXPLORATION PARTNERS, INC.

CRD#: 127228 / SEC#: , 8-65968

BD
Terminated by SEC on 11/22/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 09/05/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PLUMMER HOLDINGS CORP.PARENT COMPANY

Disclosures

Regulatory Event4
Arbitration3

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

TEXAS E&P PARTNERS, INC.

CRD#: 127228

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