Daniel P. Dickherber
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.
Daniel Palm Dickherber was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2008 - December 31, 2008
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC
January 1, 2002 - April 29, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 12, 2001 - April 29, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 18, 2000 - March 21, 2001
FIXED INCOME SECURITIES, INC.
July 1, 1997 - December 17, 1999
MERCANTILE INVESTMENT SERVICES, INC.
September 1, 1995 - July 1, 1997
GUARANTY BROKERAGE SERVICES, INC.
April 26, 1994 - September 13, 1995
IAC SECURITIES, INC.
May 19, 1992 - April 25, 1994
SUNAMERICA SECURITIES, INC.
June 6, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
July 17, 1987 - May 31, 1991
MARKETING ONE SECURITIES, INC.
February 2, 1987 - July 31, 1987
SHERWOOD CAPITAL, INC.
January 22, 1986 - January 31, 1987
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC
CRD#: 145420 / SEC#: 801-69131
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC
CRD#: 145420 / SEC#: 801-69131
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 163 |
| AUM (Assets Under Management) | $ 220,909,965 |
Red Flags
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