Daniel S. Vroon
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 Scott Vroon was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2008. Daniel had worked at 2 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2010 - September 3, 2013
FIRST SOUTHEAST INVESTOR SERVICES, INC.
January 8, 2008 - February 26, 2009
BANC OF AMERICA INVESTMENT SERVICES, 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
FIRST SOUTHEAST INVESTOR SERVICES, INC.
CRD#: 45555 / SEC#: , 8-51087
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTH STATE BANK | PARENT COMPANY | |
| DEHAVEN, LISA SALVO | S.V.P. / CHIEF COMPLIANCE OFFICER & CORPORATE SECRETARY | 2783601 |
| ENDRES, MARK GERARD | CFO/DIRECTOR | 2998235 |
| JACQUES, ED JOHN | DIRECTOR | 6423988 |
| NORRIS, KIMBERLY MEETZE | PRINCIPAL | 4670324 |
| SEASE, TIMOTHY BLANE | CHIEF EXECUTIVE OFFICER | 1927066 |
| SEASE, TIMOTHY BLANE | PRESIDENT / DIRECTOR | 1927066 |
| WINDLEY, JOHN FRANK | DIRECTOR | 6424079 |
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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