Daniel P. Rizzo
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 Phillip Rizzo was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2008. Daniel had worked at 6 firms and has passed the Series 66, Series 63 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
June 14, 2013 - April 11, 2014
TEXAKOMA FINANCIAL, INC.
March 18, 2013 - May 8, 2013
B. RILEY WEALTH ADVISORS, INC.
March 15, 2013 - April 9, 2013
NATIONAL SECURITIES CORPORATION
November 26, 2008 - January 31, 2013
TD AMERITRADE, INC.
November 26, 2008 - January 31, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 10, 2008 - January 31, 2013
TD AMERITRADE, INC.
August 19, 2008 - November 18, 2008
TD AMERITRADE CLEARING, INC.
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
TEXAKOMA FINANCIAL, INC.
CRD#: 16910 / SEC#: , 8-34706
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KENNEDY, DEAN RICHARD | OWNER/PRINCIPAL | 1268230 |
| BOYD, ROBYN LAUREL | PRINCIPAL FINANCIAL OFFICER | 7570200 |
| KEAVENY, JAMIE MICHAEL | EXECUTIVE VICE PRESIDENT/DIRECTOR/TREASURER | 7137725 |
| LATORRE, STEPHEN JOHN | PRESIDENT/DIRECTOR/SECRETARY | 3009003 |
| MOORE, ASHLEE ELIZABETH | PRINCIPAL OPERATIONS OFFICER | 7907461 |
| MOORE, ASHLEE ELIZABETH | CCO | 7907461 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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