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DS

Daniel N. Sexton

CHAUNER SECURITIES
Northbrook, IL 60062-2735
Some features on this profile are disabled
CRD#: 5379329
DS

Professional summary

Daniel Nicholas Sexton, who also goes by Dan Sexton, Daniel Sexton, is a registered financial professional currently at CHAUNER SECURITIES, INC. located in Northbrook, Illinois.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Sexton | Daniel Sexton

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) - BD

Click below to view Daniel Nicholas Sexton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 13, 2024 - Present

CHAUNER SECURITIES, INC.

Office #1: 666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
BD
CRD#: 10075
Northbrook, IL
Past

January 18, 2022 - July 31, 2024

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

September 28, 2011 - December 22, 2021

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
CHICAGO, IL
Past

May 27, 2009 - May 18, 2011

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
ST. LOUIS, MO
Past

April 20, 2009 - May 18, 2011

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. LOUIS, MO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/13/2024)
RR
Alaska
(8/13/2024)
RR
Arizona
(8/13/2024)
RR
Arkansas
(8/13/2024)
RR
California
(8/13/2024)
RR
Colorado
(8/13/2024)
RR
Connecticut
(8/13/2024)
RR
Delaware
(8/13/2024)
RR
District of Columbia
(8/13/2024)
RR
Florida
(8/13/2024)
RR
Georgia
(8/13/2024)
RR
Hawaii
(8/22/2024)
RR
Idaho
(8/13/2024)
RR
Illinois
(8/13/2024)
RR
Indiana
(8/13/2024)
RR
Iowa
(8/13/2024)
RR
Kansas
(8/13/2024)
RR
Kentucky
(8/13/2024)
RR
Louisiana
(8/13/2024)
RR
Maine
(8/13/2024)
RR
Maryland
(8/13/2024)
RR
Massachusetts
(8/13/2024)
RR
Michigan
(8/13/2024)
RR
Minnesota
(8/13/2024)
RR
Mississippi
(8/13/2024)
RR
Missouri
(8/13/2024)
RR
Montana
(8/13/2024)
RR
Nebraska
(8/13/2024)
RR
Nevada
(8/13/2024)
RR
New Hampshire
(8/13/2024)
RR
New Jersey
(8/13/2024)
RR
New Mexico
(8/13/2024)
RR
New York
(8/13/2024)
RR
North Carolina
(8/13/2024)
RR
North Dakota
(8/13/2024)
RR
Ohio
(8/13/2024)
RR
Oklahoma
(8/13/2024)
RR
Oregon
(8/13/2024)
RR
Pennsylvania
(8/13/2024)
RR
Rhode Island
(8/13/2024)
RR
South Carolina
(8/13/2024)
RR
South Dakota
(8/13/2024)
RR
Tennessee
(8/13/2024)
RR
Texas
(8/13/2024)
RR
Utah
(8/13/2024)
RR
Vermont
(8/13/2024)
RR
Virginia
(8/13/2024)
RR
Washington
(8/13/2024)
RR
West Virginia
(8/13/2024)
RR
Wisconsin
(8/13/2024)
RR
Wyoming
(8/13/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/16/2009
Uniform Combined 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: 4/17/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CHAUNER SECURITIES, INC.
CHAUNER & COTTER, INC. | CHAUNER, GRAVER & ASSOCIATES, INC. | CHAUNER, COTTER & GRAVER, INC. | CHAUNER SECURITIES, INC.

CRD#: 10075 / SEC#: , 8-33980

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

Main Address
666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
Mailing Address
666 Dundee Road, Suite 903, Northbrook, IL 60062-2735
Phone number
(847) 509-8880
Established
Illinois since 04/10/1985
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# 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#
SARAH C. CYPHERS TRUSTTRUST
CHAUNER, FRANK BYRONVICE PRESIDENT735725
CYPHERS, SARAH C.PRESIDENT, CHIEF COMPLIANCE OFFICER, TRUSTEE4691733

Disclosures

Regulatory Event1

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

CHAUNER SECURITIES, INC.

CRD#: 10075Northbrook, IL 60062-2735

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