Daniel DefoeCRD Number: 1392098
Current Firm: Southeast Investments, N.c., Inc.
Daniel Defoe (CRD# 1392098) is an Investment Advisor Representative working at Southeast Investments, N.c., Inc. in Charlotte, NC and has over 17 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Southeast Investments, N.c. Inc.||Charlotte, NC||Feb 2015 - Current||2|
|Superior Access Insurance Services||Austin, TX||Feb 2015 - Current||2|
|Pruco Securities,llc||Wilmington, DE||Jun 2000 - Jan 2015||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2000|
|S65||NASAA Investment Advisors Law Examination||Nov 2000|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Criminal Record
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)