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@lpl.com
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Daniel Huck is listed as Complex Products Supervision Analyst at LPL Financial at LPL Financial, a company with 7900 employees, based in El Cajon, California, United States. AeroLeads shows a work email signal at lpl.com, phone signal with area code 619, 781, 858, and a matched LinkedIn profile for Daniel Huck.
Daniel Huck previously worked as Complex Products Supervision Analyst at Lpl Financial and Marketing Regulatory Review Manager at Lpl Financial. Daniel Huck holds Finance from Loyola University Of Chicago.
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AeroLeads found 1 current-domain work email signal for Daniel Huck. Compare company email patterns before reaching out.
Specialties: Investment Management/Financial Services: Investment Adviser and Broker/Dealer Compliance, Client Service; Series 6, 7, 24, 27, 51, and 63 and licensed.
Listed skills include Finra, Financial Services, Investments, Securities, and 24 others.
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I joined the Complex Products Supervision department in its early period of creation at LPL as a specialized group focus on review of the highly scrutinized and complex products know as Alternative Investments (AIs) given my past knowledge and experience with AIs. My focus was on the review and approval/rejection of financial advisor submitted Alternative.
Managed a staff of six analysts focused on reviewing advisor submitted marketing materials such as websites, books, stationary, print ads, social media profiles, signage, radio shows, etc. I was a working manager so I also was active in daily marketing reviews to support high volumes, handled escalations, coordinated with other compliance departments at.
Review and approve all advertising/marketing of our registered reps as well as assist in the creation of marketing materials by our parent company Asset Marketing Systems for use with registered reps. Responsible for the training of new registered reps and ongoing guidance of the Broker/Dealer’s existing reps on SEC, FINRA, and Broker/Dealer compliance.
Responsible for the training of new advisors and ongoing guidance of the Broker/Dealer’s existing financial advisors on SEC, FINRA, and Broker/Dealer compliance requirements related to business review, advertising/marketing review, trading and branch records. Reviewed and approved business and advertising/marketing. Executed brokerage trade requests by.
Responsible for the training of new advisors and ongoing guidance of the Broker/Dealer’s existing financial advisors on SEC, FINRA, and Broker/Dealer compliance requirements related to business review, advertising/marketing review, trading and branch records. Reviewed and approved business and advertising/marketing. Executed brokerage trade requests by.
Responsible for maintaining and upholding the firm’s compliance with all SEC, NASD, and Broker/Dealer regulations. Attended conferences and met with consultants to stay current with the ever-increasing/changing rules and regulations in the financial services industry. Reviewed and Approved all business, trading and marketing activities that flowed through.
Responsible for managing all business processing activities between advisors and the firm’s Broker/Dealer. Assisted in the implementation and tracking of many compliance requirements. Personally serviced many of the president’s most elite clientele. Maintained and upgraded the firm’s internal client portfolio reporting database system.
Other employees you can reach at lpl.com. View company contacts for 7900 employees →
Whitney Love
Colleague at Lpl Financial
Alpharetta, Georgia, United States, United States
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Tim Chafin,Cfp®
Colleague at Lpl Financial
Folsom, California, United States, United States
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David Martin
Colleague at Lpl Financial
Sausalito, California, United States, United States
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Dhruvi Patel
Colleague at Lpl Financial
Greenville-Spartanburg-Anderson, South Carolina Area, United States
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Seth Mowbray
Colleague at Lpl Financial
Kansas City, Missouri, United States, United States
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Tania Matz
Colleague at Lpl Financial
Leslie, Michigan, United States, United States
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Gabe Lewandowski
Colleague at Lpl Financial
San Diego, California, United States, United States
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JB
Jennifer Bailey
Colleague at Lpl Financial
Charlotte, North Carolina, United States, United States
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Austin English
Colleague at Lpl Financial
San Diego, California, United States, United States
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TJ
Timothy J. Shea, Cfp®
Colleague at Lpl Financial
San Marcos, California, United States, United States
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Activities and Societies: Delta Sigma PI, School Newspaper Editor (The Phoenix), Basketball and Flag Football intramural.Minor in.
Activities and Societies: Varsity Tennis, Waterpolo, Editor-in-Chief of School Paper (Horizon), Secretary of German Club and Leo's Club.
Quick answers generated from the profile data available on this page.
Daniel Huck works for LPL Financial.
Daniel Huck is listed as Complex Products Supervision Analyst at LPL Financial at LPL Financial.
AeroLeads has found 1 work email signal at @lpl.com for Daniel Huck at LPL Financial.
AeroLeads has found 4 phone signal(s) with area code 619, 781, 858 for Daniel Huck at LPL Financial.
Daniel Huck is based in El Cajon, California, United States while working with LPL Financial.
Daniel Huck has worked for Lpl Financial, Madison Avenue Securities, Madison Avenue Securities, Inc., and Ken Stern & Associates.
Daniel Huck's colleagues at LPL Financial include Whitney Love, Tim Chafin,Cfp®, David Martin, Dhruvi Patel, and Seth Mowbray.
You can use AeroLeads to view verified contact signals for Daniel Huck at LPL Financial, including work email, phone, and LinkedIn data when available.
Daniel Huck holds Finance from Loyola University Of Chicago.
Daniel Huck is listed with skills including Finra, Financial Services, Investments, Securities, Trading, Portfolio Management, Training, and Management.
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