Director of Compliance
Dan serves as Summit Financial Networks’ Director of Compliance and Supervision Manager, primarily overseeing the team of Designated Supervisors, the review of both direct and clearing firm business as well as other supervisory and compliance functions.
Dan has over 26 years of brokerage industry experience. Prior to joining Summit Brokerage Services in 2006, Dan spent over 12 years serving customers as a Financial Advisor at firms including PaineWebber, Inc. and UBS Financial Services, Inc.
Dan received his bachelor’s degree from Stony Brook University in New York and later earned his master’s degree in accounting from Long Island University, C.W. Post College.
Dan holds the following Finra licenses 4, 7, 24, 53, 63, and 65 and is licensed in fixed, variable, life and health insurance.
Dan is married with two adult children, a son, and a daughter. Outside of work, he has a taste for fine food, fine wines, and fine whiskeys and enjoys listening to an eccentric array of music spanning classical to classic rock and everything in between. He enjoys the occasional round of golf and dropping the top on his old trail-ready Jeep Wrangler to take advantage of the beautiful South Florida weather.