Individual Firm
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DANIEL ROBERT DAME
CRD#: 1206871
IA
B
PMG WEALTH MANAGEMENTCRD#: 285899 Cape Coral, FL
LPL FINANCIAL LLCCRD#: 6413 CAPE CORAL, FL
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3/17/2017
Regulatory
Final
State Registrations
B
Florida 6/29/2015
IA
Illinois 2/10/2017
B
Illinois 10/6/2009
IA
Texas 3/2/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/06/2009 - 07/26/2017 | HAWTHORN WOODS, IL | |
IA | 02/04/2009 - 10/07/2009 | BUFFALO GROVE, IL | |
B | 02/02/2009 - 10/07/2009 | BUFFALO GROVE, IL | |
IA | 06/13/2001 - 02/12/2009 | ARLINGTON HEIGHTS, IL | |
B | 03/03/2000 - 02/12/2009 | ARLINGTON HEIGHTS, IL | |
B | 03/03/2000 - 07/09/2007 | ARLINGTON HEIGHTS, IL | |
B | 11/17/1992 - 10/23/1998 | NEW YORK, NY | |
B | 12/05/1994 - 12/31/1995 | NEW YORK, NY | |
B | 07/12/1988 - 11/03/1992 | ST. PAUL, MN | |
B | 10/02/1984 - 07/19/1988 | ||
B | 02/23/1984 - 10/17/1984 |
NEW YORK, NY
11/17/1992 - 10/23/1998
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.