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DANIEL JOSEPH DISIMILE
DANIEL J DISIMILE
CRD#: 1767055
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Investment Adviser
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Previous Broker
DANIEL J. DISIMILE CFP, LLCCRD#: 150923 THOUSAND OAKS, CA
Registration History
199019952000200520102015202020252 FIRMS2001 - 2003 (2 years)2 FIRMS2003 - 2005 (1 year)IADANIEL J. DISIMILE CFP, LLC (CRD# 150923)2009 - Present (15 years)BBROOKSTONE SECURITIES, INC. (CRD# 13366)2006 - 2009 (3 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1998 - 2001 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1987 - 1998 (10 years)IABROOKSTONE INVESTMENT ADVISORY... (CRD# 13366)2008 - 2009 (1 year)
Disclosure(s)
View By:
5/4/2003
Customer Dispute
Settled
7/23/2001
Customer Dispute
Closed-No Action
7/3/2001
Customer Dispute
Award / Judgment
6/14/2001
Customer Dispute
Award / Judgment
1/5/2000
Customer Dispute
Settled
8/21/1998
Employment Separation After Allegations
7/27/1998
Customer Dispute
Settled
License(s)

State Registrations

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California 10/1/2009

Current Registration(s)
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DANIEL J. DISIMILE CFP, LLC (CRD#:150923)
THOUSAND OAKS, CA
Registered with this firm since 10/1/2009

Previous Registration(s)
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02/07/2008 - 06/18/2009 BROOKSTONE INVESTMENT ADVISORY SERVICES (CRD#:13366) BEVERLY HILLS, CA
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04/27/2006 - 06/18/2009 BROOKSTONE SECURITIES, INC. (CRD#:13366)
FINRA expelled the firm on 10/09/2012
BEVERLY HILLS, CA
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09/04/2003 - 08/08/2005 GUNNALLEN FINANCIAL, INC (CRD#:17609) MISSION HILLS, CA
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09/04/2003 - 08/08/2005 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
IA
05/21/2001 - 08/08/2003 AXA ADVISORS, LLC (CRD#:6627) WOODLAND HILLS, CA
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05/15/2001 - 08/08/2003 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
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10/26/1998 - 01/19/2001 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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12/22/1987 - 09/18/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
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.