Toby J. Daniels
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Toby Jay Daniels was a registered financial professional .
Toby is a previously registered financial professional and started their career in finance in 1985. Toby had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2008 - November 19, 2018
ALDRICH WEALTH LP
January 10, 1999 - July 9, 2008
AKT WEALTH ADVISORS, LP
March 22, 1990 - October 3, 1995
CRABBE HUSON SECURITIES, INC.
October 3, 1986 - January 30, 1990
DAIN RAUSCHER INCORPORATED
August 21, 1985 - October 10, 1986
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
ALDRICH WEALTH LP
CRD#: 147200 / SEC#: 801-69190
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALDRICH WEALTH LP
CRD#: 147200 / SEC#: 801-69190
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,435 |
| AUM (Assets Under Management) | $ 6,466,230,295 |
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.
