Daniel W. Tolbert
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 William Tolbert was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1979. Daniel had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2020 - March 23, 2021
KESTRA INVESTMENT SERVICES, LLC
January 15, 2020 - March 23, 2021
KESTRA ADVISORY SERVICES, LLC
February 13, 2017 - September 1, 2017
DASH PRIME LLC
November 5, 2015 - October 23, 2017
ROSELAINE SECURITIES LLC
September 17, 2014 - February 22, 2018
PERFORMANCE CONSULTING GROUP OF TEXAS
June 11, 2008 - September 23, 2013
RBC CAPITAL MARKETS, LLC
June 11, 2008 - September 23, 2013
RBC CAPITAL MARKETS, LLC
May 16, 2001 - June 26, 2008
J.P. MORGAN SECURITIES LLC
September 26, 1983 - June 26, 2008
J.P. MORGAN SECURITIES LLC
December 31, 1982 - October 4, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 19, 1979 - January 6, 1983
CIBC WORLD MARKETS CORP.
January 2, 1979 - August 5, 1979
CITIGROUP GLOBAL MARKETS INC.
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: 3/30/2024
General Securities Representative ExaminationSeries 15
Date: 10/30/1985
Foreign Currency Options ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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