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Daniel Southworth: Did He Recommend Unsuitable Investment Products?

Jul 23, 2021 Investor Disputes

Daniel Southworth (CRD #: 5939234), a broker registered with Arete Wealth Management in Ponte Vedra Beach, Florida, is involved in an investor dispute, according to his BrokerCheck record, accessed on July 12, 2021.

On June 25, 2021, an investor alleged that Daniel Southworth recommended unsuitable insurance products. The investor is seeking $30,000; the dispute is pending.

Daniel Southworth Background Information

He has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in six states and a registered investment adviser in Florida, Georgia, and Massachusetts.

Southworth has worked for the following firms:

  • Arete Wealth Management (CRD #: 44856)
  • Arete Wealth Advisors (CRD #: 145488)
  • Cetera Advisor Networks (CRD #: 13572)
  • Summit Financial (CRD #: 109485)
  • Summit Brokerage Services (CRD #: 34643)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)

Kurta Law Can Help

If you worked with Daniel Southworth and you have concerns about unsuitable investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.