DL
Daniel S. Leaven
MGI FUNDS DISTRIBUTORS
Phoenix, AZ 85054
Some features on this profile are disabled
CRD#: 5678008
DL
Professional summary
Daniel Steven Leaven, who also goes by Daniel S Leaven, Daniel Steven Leaven, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Phoenix, Arizona.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2014. Daniel has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel S Leaven | Daniel Steven Leaven
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Steven Leaven'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®
NoneExperience
Current
November 25, 2024 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #1: 5415 East High Street, Suite 460, Phoenix, AZ 85054BD
CRD#: 35682
Phoenix, AZ
Past
April 6, 2023 - May 29, 2024
ATHENE SECURITIES, LLC
BD
CRD#: 36867
WEST DES MOINES, IA
Past
June 18, 2018 - May 28, 2024
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
Phoenix, AZ
Past
November 23, 2015 - May 17, 2018
MORGAN STANLEY
RIA
CRD#: 149777
CHICAGO, IL
Past
October 8, 2015 - May 17, 2018
MORGAN STANLEY
BD
CRD#: 149777
CHICAGO, IL
Past
August 19, 2014 - September 23, 2015
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
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(1/9/2025)
RR
Alaska(1/9/2025)
RR
Arizona(11/26/2024)
RR
Arkansas(1/9/2025)
RR
California(1/9/2025)
RR
Colorado(1/9/2025)
RR
Connecticut(1/9/2025)
RR
Delaware(1/9/2025)
RR
District of Columbia(1/9/2025)
RR
Florida(1/9/2025)
RR
Georgia(1/9/2025)
RR
Hawaii(1/9/2025)
RR
Idaho(1/9/2025)
RR
Illinois(12/3/2024)
RR
Indiana(1/9/2025)
RR
Iowa(1/9/2025)
RR
Kansas(1/9/2025)
RR
Kentucky(1/9/2025)
RR
Louisiana(1/9/2025)
RR
Maine(1/9/2025)
RR
Maryland(1/9/2025)
RR
Massachusetts(1/9/2025)
RR
Michigan(1/9/2025)
RR
Minnesota(1/9/2025)
RR
Mississippi(1/9/2025)
RR
Missouri(1/9/2025)
RR
Montana(1/9/2025)
RR
Nebraska(1/9/2025)
RR
Nevada(1/9/2025)
RR
New Hampshire(1/9/2025)
RR
New Jersey(1/9/2025)
RR
New Mexico(1/9/2025)
RR
New York(12/3/2024)
RR
North Carolina(1/9/2025)
RR
North Dakota(1/9/2025)
RR
Ohio(1/9/2025)
RR
Oklahoma(1/9/2025)
RR
Oregon(1/9/2025)
RR
Pennsylvania(1/9/2025)
RR
Puerto Rico(6/23/2025)
RR
Rhode Island(1/9/2025)
RR
South Carolina(1/9/2025)
RR
South Dakota(1/9/2025)
RR
Tennessee(1/9/2025)
RR
Texas(1/9/2025)
RR
Utah(1/9/2025)
RR
Vermont(1/9/2025)
RR
Virginia(1/9/2025)
RR
Washington(1/9/2025)
RR
West Virginia(1/9/2025)
RR
Wisconsin(1/9/2025)
RR
Wyoming(1/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
