Individual Firm
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DANIEL MARK NAGEL
CRD#: 1861282
IA
B
TSFG, LLCCRD#: 172555 1052 N. WESTERN AVE.
LAKE FOREST, IL 60045
LAKE FOREST, IL 60045
LPL FINANCIAL LLCCRD#: 6413 1052 N WESTERN AVENUE
LAKE FOREST, IL 60045
LAKE FOREST, IL 60045
View By:
8/28/2007
Customer Dispute
Denied
State Registrations
B
Alabama 7/22/2004
B
New Mexico 5/14/2004
B
Arizona 11/24/2008
B
New York 2/18/2015
B
California 11/12/2004
B
North Carolina 4/18/2013
B
Colorado 8/18/2005
B
Oregon 1/24/2024
B
Florida 2/6/2004
B
South Carolina 8/30/2010
B
Illinois 2/6/2004
B
South Dakota 10/14/2020
IA
Illinois 2/3/2015
B
Tennessee 4/7/2016
B
Indiana 8/8/2013
B
Texas 7/22/2019
B
Iowa 11/26/2013
IA
Texas 11/15/2019
B
Massachusetts 10/14/2020
B
Utah 7/25/2022
B
Michigan 11/23/2020
B
Virginia 4/14/2004
B
Minnesota 11/23/2020
B
Washington 10/8/2020
B
Nevada 2/24/2017
B
Wisconsin 2/6/2004
B
New Jersey 2/6/2013
SRO Registrations
B
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IA
Registered with this firm since 2/3/2015
B
Registered with this firm since 2/6/2004
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/06/2004 - 09/07/2016 | LAKE FOREST, IL | |
IA | 06/06/2001 - 02/09/2004 | VERNON HILLS, IL | |
B | 03/22/1996 - 02/09/2004 | WAVERLY, IA | |
B | 03/04/1996 - 03/14/1996 | PORTLAND, ME | |
B | 02/01/1995 - 09/20/1995 | CHICAGO, IL | |
B | 03/22/1990 - 02/01/1995 |
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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.