Daniel P. Strandberg
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 Paul Strandberg was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1979. Daniel had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2001 - November 18, 2014
SECURIAN FINANCIAL SERVICES, INC.
July 12, 1988 - November 18, 2014
SECURIAN FINANCIAL SERVICES, INC.
April 26, 1988 - July 9, 1988
SENTRA SECURITIES CORPORATION
May 20, 1987 - April 19, 1988
KORN, WOMACK, STERN AND ASSOCIATES, INC.
September 6, 1985 - December 22, 1987
PBS SECURITIES, INC.
September 17, 1983 - June 2, 1987
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
May 9, 1983 - June 20, 1985
FRANCIS MANZO & COMPANY, INCORPORATED
October 8, 1982 - May 13, 1983
PRINCIPAL SECURITIES, INC.
June 9, 1982 - October 12, 1982
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
February 18, 1982 - April 26, 1982
PRUCO SECURITIES, LLC.
October 26, 1979 - April 15, 1982
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 10/18/1979
Registered Representative ExaminationCurrent Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
