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Detailed Report
Daniel Szudzik
Daniel LEON Szudzik
CRD#: 5521640
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 PINEVILLE, NC
Registration History
201220142016201820202022202420262 FIRMS2016 - 2022 (5 years)2 FIRMS2022 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)2011 - 2016 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2012 - 2016 (3 years)
License(s)

State Registrations

B
Alabama 1/6/2022
B
Nevada 1/6/2022
B
Alaska 1/6/2022
B
New Hampshire 1/6/2022
B
Arizona 1/6/2022
B
New Jersey 1/6/2022
B
Arkansas 1/6/2022
B
New Mexico 1/6/2022
B
California 1/6/2022
B
New York 1/6/2022
B
Colorado 1/6/2022
B
North Carolina 1/6/2022
B
Connecticut 1/6/2022
IA
North Carolina 1/6/2022
B
Delaware 1/6/2022
B
North Dakota 1/6/2022
B
District of Columbia 1/6/2022
B
Ohio 1/7/2022
B
Florida 1/6/2022
B
Oklahoma 1/6/2022
B
Georgia 1/6/2022
B
Oregon 1/6/2022
B
Hawaii 1/6/2022
B
Pennsylvania 1/6/2022
B
Idaho 1/6/2022
B
Puerto Rico 1/6/2022
B
Illinois 1/6/2022
B
Rhode Island 1/6/2022
B
Indiana 1/6/2022
B
South Carolina 1/6/2022
B
Iowa 1/6/2022
IA
South Carolina 1/11/2022
B
Kansas 1/6/2022
B
South Dakota 1/6/2022
B
Kentucky 1/6/2022
B
Tennessee 1/6/2022
B
Louisiana 1/6/2022
B
Texas 1/6/2022
B
Maine 1/6/2022
IA
Texas 1/6/2022
B
Maryland 1/6/2022
B
Utah 1/6/2022
B
Massachusetts 1/6/2022
B
Vermont 1/6/2022
B
Michigan 1/6/2022
B
Virgin Islands 1/6/2022
B
Minnesota 1/6/2022
B
Virginia 1/6/2022
B
Mississippi 1/6/2022
B
Washington 1/6/2022
B
Missouri 1/6/2022
B
West Virginia 1/6/2022
B
Montana 1/6/2022
B
Wisconsin 1/6/2022
B
Nebraska 1/6/2022
B
Wyoming 1/6/2022

SRO Registrations

B
 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)
IA
LPL FINANCIAL LLC (CRD#:6413)
PINEVILLE, NC
Registered with this firm since 1/6/2022
B
LPL FINANCIAL LLC (CRD#:6413)
PINEVILLE, NC
Registered with this firm since 1/6/2022
Previous Registration(s)
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IA
 02/17/2016 - 01/03/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
B
 02/17/2016 - 01/03/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHARLOTTE, NC
IA
 04/11/2012 - 02/03/2016 LPL FINANCIAL LLC (CRD#:6413) CHARLOTTE, NC
B
 10/03/2011 - 02/03/2016 LPL FINANCIAL LLC (CRD#:6413) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.