DH
Daniel T. Hoban
SPECTRUM FINANCIAL RESOURCES
TROY, MI 48084
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CRD#: 1095185
DH
Professional summary
Daniel Thomas Hoban is a registered financial advisor currently at SPECTRUM FINANCIAL RESOURCES located in Troy, Michigan and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Troy, Michigan.
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 66, Series 63, SIE, Series 3, Series 7 and Series 24 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.
1.) DANIEL HOBAN - AGENT - INSURANCE SALES - TROY, MI - SINCE 07/2005 - INVESTMENT RELATED 2.) SPECTRUM FINANCIAL - TAX PREPARER - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - TROY, MI - SINCE 01/2007 - NOT INVESTMENT RELATED 3.) SPECTRUM FINANCIAL RESOURCES, LLC - PRESIDENT - REGISTERED INVESTMENT ADVISOR - TROY, MI - SINCE 06/1986 - INVESTMENT RELATED 4.) DANIEL HOBAN - SELF - NOTARY PUBLIC - TROY, MI - SINCE 01/2011 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas Hoban'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®
NoneExperience
Current
September 24, 2010 - Present
SPECTRUM FINANCIAL RESOURCES
Office #1: 1661 W. Big Beaver, Troy, MI 48084RIA
CRD#: 127453
TROY, MI
Current
August 10, 2009 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 1661 W. Big Beaver, Troy, MI 48084Office #2: 63 Kercheval Suite 222, Gross Pointe Farms, MI 48236RIA
BD
CRD#: 20804
TROY, MI
Past
June 13, 2003 - August 12, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
TROY, MI
Past
July 13, 1989 - June 20, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
February 1, 1989 - July 17, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Past
June 16, 1986 - July 17, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
August 9, 1984 - July 15, 1986
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
March 1, 1983 - August 8, 1984
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
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".
SF
SPECTRUM FINANCIAL RESOURCES
SPECTRUM FINANCIAL RESOURCE, LLC | SPECTRUM FINANCIAL RESOURCES, LLC | SPECTRUM FINANCIAL RESOURCES
CRD#: 127453 / SEC#: 801-126271
RIA
Registered Investment Advisory firm - (8/23/2022 Approved)Michigan
Registered Investment Advisory firm - (9/7/2022 Terminated)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
RR
Arizona(8/10/2009)
RR
California(8/10/2009)
RR
Colorado(8/10/2009)
RR
Connecticut(3/5/2019)
RR
Florida(8/10/2009)
RR
Georgia(8/10/2009)
RR
Illinois(8/10/2009)
RR
Indiana(8/10/2009)
RR
Iowa(4/6/2021)
RR
Kansas(10/9/2018)
RR
Maine(8/10/2009)
RR
Maryland(1/19/2012)
RR
Massachusetts(10/28/2019)
RR
Michigan(8/10/2009)
IAR
Michigan(9/24/2010)
RR
Minnesota(1/7/2013)
RR
Montana(5/19/2022)
RR
Nebraska(8/6/2015)
RR
Nevada(10/30/2019)
RR
New Jersey(4/10/2019)
RR
New Mexico(8/2/2011)
RR
New York(9/27/2013)
RR
North Carolina(8/10/2009)
RR
Ohio(10/11/2011)
RR
Pennsylvania(4/10/2019)
RR
South Carolina(10/10/2011)
RR
Tennessee(5/30/2023)
RR
Texas(3/21/2013)
IAR
Texas(3/26/2024)
RR
Utah(1/7/2013)
RR
Virginia(1/3/2011)
RR
Washington(10/29/2018)
RR
Wisconsin(1/22/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SPECTRUM FINANCIAL RESOURCES
SPECTRUM FINANCIAL RESOURCE, LLC | SPECTRUM FINANCIAL RESOURCES, LLC | SPECTRUM FINANCIAL RESOURCES
CRD#: 127453 / SEC#: 801-126271
RIA
Registered Investment Advisory firm - (8/23/2022 Approved)Michigan
Registered Investment Advisory firm - (9/7/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1661 W. Big Beaver, Troy, MI 48084
Mailing Address
Phone number
(248) 643-0033
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,188 |
| AUM (Assets Under Management) | $ 206,606,422 |
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.
