Daniel R. Dubrowski
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 Raymond Dubrowski, who also goes by Daniel Dubrowski, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2018. Daniel had worked at 2 firms and has passed the Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2019 - October 23, 2024
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
December 17, 2018 - October 23, 2024
LIONSTONE INVESTMENTS
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
Series 7TO
Date: 2/7/2019
General Securities Representative ExaminationCurrent Firm
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
CRD#: 840 / SEC#: , 8-25845
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| MATTOX, MICHAEL SCOTT | CHIEF FINANCIAL OFFICER | 4383501 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
| Civil Event | 1 |
Red Flags
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