Daniel W. Crosby

PACIFIC EMPIRE FINANCIAL

Murrieta, CA

Some features on this profile are disabled

CRD#: 1007109

Professional summary

Daniel Walter Crosby is a registered financial advisor currently at PACIFIC EMPIRE FINANCIAL located in Murrieta, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Daniel has worked at 10 firms and has passed the Series 65, Series 63, Series 6, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PACIFIC EMPIRE; 222 N. MOUNTAIN #107; UPLAND, CA 91786; SOLE PROPRIETOR; LIFE INSURANCE AND ANNUITY SALES; 40 HRS/WK; BEGIN DATE: JUNE 1, 2003. FIXED INSURANCE: LIFE & ANNUITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Walter Crosby's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 25, 2018 - Present

PACIFIC EMPIRE FINANCIAL

RIA

CRD#: 141648

Murrieta, CA

Past

March 4, 2009 - September 8, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

UPLAND, CA

Past

April 2, 2007 - October 7, 2008

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

UPLAND, CA

Past

June 6, 2003 - December 17, 2003

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

July 8, 1997 - June 6, 2003

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BREA, CA

Past

June 24, 1992 - April 4, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

April 9, 1991 - June 3, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 23, 1988 - July 12, 1989

CROWELL, WEEDON & CO.

CRD#: 193

Past

October 31, 1986 - March 8, 1988

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

August 8, 1983 - July 12, 1989

CROWELL, WEEDON & CO.

CRD#: 193

LOS ANGELES, CA

Past

November 4, 1981 - August 18, 1982

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/25/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/28/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/21/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 3/31/2007

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/15/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 11/6/1995

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PACIFIC EMPIRE FINANCIAL

CROSBY DANIEL WALTER | PACIFIC EMPIRE FINANCIAL, LLC | PACIFIC EMPIRE FINANCIAL GROUP, LLC | PACIFIC EMPIRE FINANCIAL

CRD#: 141648 / SEC#:

California

Registered Investment Advisory firm - (6/22/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Murrieta, CA

Mailing Address

Phone number

(909) 373-0224

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel W. Crosby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Walter Crosby's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

FARMERS FINANCIAL SOLUTIONS, LLC

LEGACY FINANCIAL SERVICES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

UBS FINANCIAL SERVICES INC.

CROWELL, WEEDON & CO.

KIDDER, PEABODY & CO. INCORPORATED

CROWELL, WEEDON & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2016

Series 63

Date: 5/21/2007

Series 6

Date: 3/31/2007

Series 7

Date: 8/15/1981

Series 8

Date: 11/6/1995

Current Firm

PACIFIC EMPIRE FINANCIAL

Contact information

Documents

Red Flags

Company Information

PACIFIC EMPIRE FINANCIAL

TRUST BUT VERIFY

Similar Advisors