Daniel L. Toula
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 Lee Toula, who also goes by Dan Lee Toula, Daniel L Toula, Daniel Lee Toula, Danny Lee Toula, Danny Toula, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2017 - July 13, 2018
UBS FINANCIAL SERVICES INC.
June 9, 2017 - July 13, 2018
UBS FINANCIAL SERVICES INC.
October 7, 2015 - April 21, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 8, 2015 - April 21, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 16, 2015 - May 28, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 4, 2015 - May 28, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 14, 2012 - February 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 12, 2012 - July 12, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 4, 2012 - February 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 8, 2011 - November 15, 2011
T. ROWE PRICE INVESTMENT SERVICES, INC.
February 1, 2010 - February 4, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
