Daniel C. Spain
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 Charles Spain, who also goes by Daniel Spain, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2019. Daniel had worked at 3 firms and has passed the Series 63, SIE and Series 6TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2023 - December 31, 2024
MGI FUNDS DISTRIBUTORS, LLC
April 12, 2019 - November 11, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 12, 2019 - February 6, 2023
MUTUAL OF AMERICA SECURITIES LLC
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 6TO
Date: 3/26/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
Contact information
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
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