Daniel P. Volpe
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 Volpe was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1981. Daniel had worked at 11 firms and has passed the Series 63, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2005 - November 5, 2012
PLANMEMBER SECURITIES CORPORATION
October 31, 2005 - November 5, 2012
PLANMEMBER SECURITIES CORPORATION
January 3, 2002 - December 6, 2005
EQUITY SERVICES, INC.
September 19, 2001 - December 6, 2005
EQUITY SERVICES, INC.
March 31, 1999 - September 5, 2001
MUTUAL SERVICE CORPORATION
November 20, 1997 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
October 2, 1997 - November 21, 1997
PLANMEMBER SECURITIES CORPORATION
August 17, 1995 - September 9, 1997
SENTRA SECURITIES CORPORATION
September 17, 1991 - September 12, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 17, 1991 - September 12, 1995
SIGNATOR INVESTORS, INC.
March 27, 1991 - August 1, 1991
HORNOR, TOWNSEND & KENT, LLC
November 27, 1985 - December 22, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 27, 1985 - December 22, 1990
EQUITABLE ADVISORS, LLC
April 18, 1983 - August 26, 1985
GREEN HILL FINANCIAL SERVICE CORPORATION
July 22, 1981 - June 13, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 22, 1981 - June 13, 1983
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
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
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
