Daniel Gordon Rotter

Current Employers

Hampton Financial Services

Naperville, IL • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2002-01-02

IL RA
APPROVED

Since 2002-01-02

Branch Locations

Naperville, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Hampton Financial Services, Inc.	Arlington Heights	IL	08/2001	Present

08/2001 → Present

Hampton Financial Services, Inc.

Arlington Heights, IL

Other Businesses

I AM THE PRESIDENT/OWNER OF HAMPTON FINANCIAL SERVICES, INC., LOCATED AT 2011 N. OAK WOOD DR., ARLINGTON HEIGHTS, I.L. 60004-7215. MY START DATE WAS AUGUST, 1991. THIS BUSINESS IS NOT INVESTMENT-RELATED. THE NATURE OF THIS BUSINESS IS FINANCIAL PLANNING. MY DUTIES INCLUDE FINANCIAL PLANNING FOR CONTRACTED CLIENTS AND PRO-BONO ASSISTANCE FOR CLIENTS GETTING OUT OF DEBT. I DEVOTE ABOUT 20 HOURS PER MONTH TO THIS BUSINESS, ABOUT 2 HOURS ARE DURING SECURITIES TRADING HOURS. IN ADDITION I DO TAX PLANNING & FILING BOTH FEDERAL AND STATE. I ALSO SELL LIFE INSURANCE.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-10-16
S65	Uniform Investment Adviser Law Examination	1998-01-06

S63 Uniform Securities Agent State Law Examination

2008-10-16
S65 Uniform Investment Adviser Law Examination

1998-01-06

Designations

View on SEC IAPD