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DS

Daniel P. Snicker

Some features on this profile are disabled
CRD#: 6240018
DS

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 Patrick Snicker, who also goes by Daniel Snicker, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2014. Daniel had worked at 12 firms and has passed the Series 66, SIE, Series 52, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Snicker

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 13, 2018 - October 2, 2020

SAMMONS FINANCIAL NETWORK, LLC

BD
CRD#: 158538
WEST DES MOINES, IA
Past

May 4, 2016 - April 19, 2017

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
W DES MOINES, IA
Past

May 4, 2016 - November 9, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
West Des Moines, IA
Past

May 4, 2016 - November 9, 2016

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
WEST DES MOINES, IA
Past

May 4, 2016 - April 19, 2017

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
W Des Moines, IA
Past

May 4, 2016 - April 19, 2017

GIRARD SECURITIES, INC.

BD
CRD#: 18697
W DES MOINES, IA
Past

May 4, 2016 - April 19, 2017

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
W Des Moines, IA
Past

May 4, 2016 - April 19, 2017

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
W DES MOINES, IA
Past

May 4, 2016 - April 19, 2017

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
W DES MOINES, IA
Past

May 4, 2016 - April 19, 2017

CETERA ADVISORS LLC

BD
CRD#: 10299
W DES MOINES, IA
Past

May 4, 2016 - April 19, 2017

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
W DES MOINES, IA
Past

June 2, 2015 - April 11, 2016

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
FAIRFIELD, IA
Past

April 18, 2014 - April 11, 2016

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/1/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 2/5/2016
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/28/2015
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2014
General Securities Principal Examination

Current Firm

SF
SAMMONS FINANCIAL NETWORK, LLC
SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538 / SEC#: , 8-68905

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

Main Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
8300 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(855) 624-0180
Established
Delaware since 06/09/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAMMONS SECURITIES, INC.MANAGING MEMBER/ELECTED MANAGER
DYKHUIS, ARLEN GLENNFINOP PRINCIPAL5285074
LOWE, BILL LEOPRESIDENT2328135
SURETTE, STEPHANIE ANNCHIEF COMPLIANCE OFFICER5217627

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

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

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