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DG

Daniel M. Groza

EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 5522698
DG

Professional summary

Daniel Michael Groza, who also goes by Danny Michael Groza, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2009. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Danny Michael Groza

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 Michael Groza's 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

April 30, 2012 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262
BD
CRD#: 25900
Charlotte, NC
Past

March 9, 2012 - April 26, 2012

ASCENSUS FINANCIAL SERVICES, LLC.

BD
CRD#: 147257
EAST WINDSOR, NJ
Past

April 9, 2009 - October 26, 2011

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
SOMERSET, NJ

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
Alaska
(2/20/2024)
RR
Arizona
(6/21/2019)
RR
Arkansas
(7/1/2019)
RR
California
(6/25/2019)
RR
Colorado
(2/15/2024)
RR
Hawaii
(6/14/2024)
RR
Idaho
(2/15/2024)
RR
Illinois
(7/12/2019)
RR
Indiana
(2/18/2024)
RR
Iowa
(6/25/2019)
RR
Kansas
(6/28/2019)
RR
Kentucky
(2/20/2024)
RR
Louisiana
(6/24/2019)
RR
Michigan
(2/19/2024)
RR
Minnesota
(2/15/2024)
RR
Missouri
(5/16/2024)
RR
Montana
(6/24/2019)
RR
Nebraska
(5/16/2024)
RR
Nevada
(5/16/2024)
RR
New Mexico
(6/24/2019)
RR
North Carolina
(9/22/2021)
RR
North Dakota
(2/20/2024)
RR
Ohio
(2/15/2024)
RR
Oklahoma
(6/24/2019)
RR
Oregon
(2/14/2024)
RR
South Dakota
(5/16/2024)
RR
Texas
(5/14/2015)
RR
Utah
(2/15/2024)
RR
Washington
(6/21/2019)
RR
Wisconsin
(6/24/2019)
RR
Wyoming
(2/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/16/2008
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/12/2024
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

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

Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
LARUSSA, CHRISTOPHER JOHNCHIEF COMPLIANCE OFFICER4728315
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900Charlotte, NC 28262

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