DANIEL EDWARD ELLIOTT - Investment Adviser at EQUITY SERVICES, INC.

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Detailed ReportReport

DANIEL EDWARD ELLIOTT

DAN ELLIOTT MR.

CRD#: 4570145

Investment Adviser

Broker

ESI FINANCIAL ADVISORSCRD#: 265

NORTH CHESTERFIELD, VA

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Vermont 11/13/2024

Virginia 11/13/2024

SRO Registrations

FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.

Current Registration(s)

EQUITY SERVICES, INC. (CRD#:265)

NORTH CHESTERFIELD, VA

Registered with this firm since 11/13/2024

ESI FINANCIAL ADVISORS (CRD#:265)

NORTH CHESTERFIELD, VA

Registered with this firm since 11/13/2024

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	09/27/2016 - 11/04/2024	TRUIST ADVISORY SERVICES, INC. (CRD#:283390)	RICHMOND, VA
B	12/11/2007 - 11/04/2024	TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)	RICHMOND, VA
IA	01/03/2008 - 12/31/2016	SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499)	RICHMOND, VA
B	02/11/2004 - 12/10/2007	FIRST CLEARING, LLC (CRD#:17344)	RICHMOND, VA
B	02/04/2003 - 10/20/2003	WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882)	WINDSOR, CT
IA	10/06/2002 - 12/18/2002	AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363)	RICHMOND, VA
B	09/18/2002 - 12/18/2002	AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363)	MINNEAPOLIS, MN
B	09/18/2002 - 12/18/2002	IDS LIFE INSURANCE COMPANY (CRD#:6321)	MINNEAPOLIS, MN

TRUIST ADVISORY SERVICES, INC. (CRD#:283390)

RICHMOND, VA

09/27/2016 - 11/04/2024

TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)

RICHMOND, VA

12/11/2007 - 11/04/2024

SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499)

RICHMOND, VA

01/03/2008 - 12/31/2016

FIRST CLEARING, LLC (CRD#:17344)

RICHMOND, VA

02/11/2004 - 12/10/2007

WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882)

WINDSOR, CT

02/04/2003 - 10/20/2003

AMERICAN EXPRESS FINANCIAL ADVISORS, INC. (CRD#:6363)

RICHMOND, VA

10/06/2002 - 12/18/2002

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363)

MINNEAPOLIS, MN

09/18/2002 - 12/18/2002

IDS LIFE INSURANCE COMPANY (CRD#:6321)

MINNEAPOLIS, MN

09/18/2002 - 12/18/2002

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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.

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

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.