Daniel G. Fowler
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 Geoffrey Fowler, AIF®, who also goes by Daniel Geoffrey Fowler, Daniel Fowler, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2022 - August 14, 2023
USI SECURITIES, INC.
January 4, 2021 - August 17, 2022
EMPOWER FINANCIAL SERVICES, INC.
May 2, 2019 - January 4, 2021
MML DISTRIBUTORS, LLC
October 29, 2018 - June 4, 2019
CROWN CAPITAL SECURITIES, L.P.
July 12, 2007 - September 2, 2014
VOYA FINANCIAL PARTNERS, LLC
November 21, 2006 - June 25, 2007
COREBRIDGE CAPITAL SERVICES, INC.
Primary Firm SEC Registration
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
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 7TO
Date: 10/29/2018
General Securities Representative ExaminationCurrent Firm
USI SECURITIES, INC.
CRD#: 43793 / SEC#: 801-56578, 8-50429
Contact information
SEC notice filing (39 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USIC INVESTMENT GROUP INC. | SHAREHOLDER | |
| BOWMAN, RICHARD CHARLES | FINOP, DIRECTOR OF OPERATIONS | 2356525 |
| GRITZER, JOSEPH JOHN JR | PRESIDENT | 2162679 |
| KAPPUS, DAVID L | TREASURER | 6837749 |
| NEWBORN, ERNEST JOSHUA | DIRECTOR/SECRETARY | 3154426 |
| ROBIDOUX, MELINDA MCDONALD | CHIEF COMPLIANCE OFFICER | 2848093 |
| TREMKO, WILLIAM MICHAEL | CHIEF EXECUTIVE OFFICER | 4495149 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
