DW
Daniel R. Wroble
FEDERATED INVESTMENT COUNSELING
Charlotte, NC
Some features on this profile are disabled
CRD#: 1413861
DW
Professional summary
Daniel Robert Wroble is a registered financial advisor currently at FEDERATED INVESTMENT COUNSELING located in Charlotte, North Carolina and FEDERATED SECURITIES CORP. located in Charlotte, North Carolina.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Daniel has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Robert Wroble'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
January 29, 2008 - Present
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
Charlotte, NC
Current
November 12, 2009 - Present
FEDERATED SECURITIES CORP.
RIA
BD
CRD#: 5009
CHARLOTTE, NC
Current
August 9, 2010 - Present
MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC
RIA
CRD#: 109355
Charlotte, NC
Current
January 7, 2011 - Present
FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 106277
Charlotte, NC
Current
December 3, 2007 - Present
FEDERATED SECURITIES CORP.
Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779RIA
BD
CRD#: 5009
Pittsburgh, PA
Past
November 27, 2002 - November 7, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
April 23, 1996 - June 10, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 31, 1996 - June 10, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
Past
December 14, 1992 - November 30, 1994
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
January 1, 1992 - December 18, 1992
KEMPER FINANCIAL SERVICES, INC.
BD
CRD#: 798
Past
December 17, 1985 - October 7, 1989
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
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".
FI
FEDERATED INVESTMENT COUNSELING
FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
RIA
Registered Investment Advisory firm - (6/12/1989 Approved)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
Alabama(12/3/2007)
RR
Alaska(12/3/2007)
RR
Arizona(12/3/2007)
RR
Arkansas(6/13/2013)
RR
California(12/3/2007)
RR
Colorado(12/13/2007)
RR
Connecticut(12/3/2007)
RR
Delaware(12/11/2007)
RR
District of Columbia(12/3/2007)
RR
Florida(12/6/2007)
RR
Georgia(12/3/2007)
RR
Hawaii(3/21/2016)
RR
Idaho(6/19/2013)
RR
Illinois(1/22/2008)
IAR
Illinois(10/14/2022)
RR
Indiana(1/2/2008)
RR
Iowa(12/12/2007)
RR
Kansas(12/3/2007)
RR
Kentucky(12/3/2007)
RR
Louisiana(12/5/2007)
RR
Maine(12/14/2007)
RR
Maryland(12/3/2007)
RR
Massachusetts(12/11/2007)
IAR
Massachusetts(8/20/2010)
RR
Michigan(12/12/2007)
RR
Minnesota(12/3/2007)
RR
Mississippi(12/3/2007)
RR
Missouri(12/4/2007)
RR
Montana(1/16/2008)
RR
Nebraska(3/6/2008)
RR
Nevada(12/3/2007)
RR
New Hampshire(5/16/2008)
RR
New Jersey(12/3/2007)
RR
New Mexico(12/3/2007)
RR
New York(2/7/2008)
IAR
New York(8/5/2021)
RR
North Carolina(12/3/2007)
RR
North Dakota(12/13/2007)
RR
Ohio(2/12/2010)
RR
Oklahoma(1/15/2008)
RR
Oregon(1/2/2008)
RR
Pennsylvania(12/3/2007)
IAR
Pennsylvania(1/30/2008)
RR
Puerto Rico(12/3/2007)
IAR
Puerto Rico(2/1/2008)
RR
Rhode Island(12/3/2007)
RR
South Carolina(12/6/2007)
RR
South Dakota(12/3/2007)
RR
Tennessee(9/6/2011)
RR
Texas(12/14/2007)
IAR
Texas(1/29/2008)
RR
Utah(12/3/2007)
RR
Vermont(2/3/2010)
RR
Virginia(12/18/2007)
RR
Washington(12/3/2007)
RR
West Virginia(12/3/2007)
RR
Wisconsin(12/3/2007)
RR
Wyoming(12/3/2007)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FEDERATED INVESTMENT COUNSELING
FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
RIA
Registered Investment Advisory firm - (6/12/1989 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
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Mailing Address
Phone number
(412) 288-1900
Established
Firm type
Fiscal year end
# of Employees
213
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,579 |
| AUM (Assets Under Management) | $ 199,641,239,415 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/11/2023 | ||
| 07/29/2022 |
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.
