Daniel L. Volsteadt
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 Lee Volsteadt, who also goes by Dan Volsteadt, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1977. Daniel had worked at 10 firms and has passed the Series 63, SIE, Series 6, Series 1 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
February 27, 2004 - December 31, 2014
LIFEMARK SECURITIES CORP.
April 26, 2002 - December 19, 2003
WORLD GROUP SECURITIES, INC.
May 3, 1995 - April 4, 2002
WMA SECURITIES, INC.
July 10, 1984 - December 18, 1985
CAPITAL WEST SECURITIES, INC.
September 28, 1981 - May 17, 1984
LPL FINANCIAL LLC
June 25, 1981 - September 24, 1981
SOUTHMARK FINANCIAL SERVICES, INC.
March 11, 1981 - June 19, 1981
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 15, 1977 - January 5, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
February 15, 1977 - January 5, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
February 15, 1977 - January 5, 1981
IDS LIFE INSURANCE COMPANY
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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 1
Date: 2/12/1977
Registered Representative ExaminationCurrent Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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