DF
Daniel Fuentes
USAA INVESTMENT SERVICES COMPANY
San Antonio, TX 78288
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CRD#: 1088246
DF
Professional summary
Daniel Fuentes, CFP®, who also goes by Dan Fuentes, is a registered financial advisor currently at USAA INVESTMENT SERVICES COMPANY located in San Antonio, Texas.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Fuentes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Fuentes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Fuentes'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®
Experience
Current
January 8, 2018 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 9800 Fredericksburg Road, San Antonio, TX 78288RIA
BD
CRD#: 5475
San Antonio, TX
Current
September 11, 2019 - Present
USAA INVESTMENT SERVICES COMPANY
Office #1: 9800 Fredericksburg Road, San Antonio, TX 78288RIA
BD
CRD#: 5475
San Antonio, TX
Past
November 30, 2009 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
November 30, 2009 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
May 13, 2009 - October 20, 2009
RIVERSTONE WEALTH MANAGEMENT, INC.
RIA
CRD#: 40418
SAN ANTONIO, TX
Past
May 13, 2009 - October 20, 2009
RIVERSTONE WEALTH MANAGEMENT, INC.
BD
CRD#: 40418
SAN ANTONIO, TX
Past
November 6, 2008 - May 18, 2009
NEW ENGLAND SECURITIES
RIA
CRD#: 615
SAN ANTONIO, TX
Past
September 4, 2008 - May 18, 2009
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN ANTONIO, TX
Past
September 25, 2007 - April 30, 2008
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
December 6, 1994 - April 30, 2008
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
December 6, 1994 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
April 21, 1987 - November 18, 1993
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
September 29, 1986 - April 29, 1987
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
July 22, 1983 - January 6, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
July 22, 1983 - January 7, 1986
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Texas(1/8/2018)
RR
Texas(6/8/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
Company Information
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475San Antonio, TX 78288TRUST BUT VERIFY
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Contact information
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