Daniel R. Roccato

QUAKER WEALTH MANAGEMENT LLC

Moorestown, NJ 08057

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CRD#: 1616089

Professional summary

Daniel Richard Roccato, who also goes by Dan Roccato, is a registered financial advisor currently at QUAKER WEALTH MANAGEMENT LLC located in Moorestown, New Jersey.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Daniel has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Roccato

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 ROCCATO; NOT INVESTMENT RELATED; 330 MARKET STREET, PHILADELPHIA, PA 19106; BROADCAST TELEVISION NEWS; FINANCIAL EXPERT; BEGAN DECEMBER 2009; APPROXIMATELY 4 HOURS PER MONTH INCLUDING DURING TRADING HOURS; REPORTING/ANALYSIS OF FINANCIAL AND ECONOMIC NEWS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Richard Roccato's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 13, 2016 - Present

QUAKER WEALTH MANAGEMENT LLC

Office #1: 70 East Main Street, Moorestown, NJ 08057

RIA

CRD#: 284546

Moorestown, NJ

Past

May 15, 2006 - August 1, 2016

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

MOORESTOWN, NJ

Past

May 15, 2006 - August 1, 2016

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

MOORESTOWN, NJ

Past

March 8, 2005 - February 24, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PRINCETON, NJ

Past

January 1, 2005 - February 24, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

QUAKER WEALTH MANAGEMENT LLC

NEWHEISLER WEALTH MANAGEMENT | QUAKER WEALTH MANAGEMENT LLC

CRD#: 284546 / SEC#: 801-108126

RIA

Registered Investment Advisory firm - (7/15/2016 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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(9/13/2016)

IAR

Texas
(4/18/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/7/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2005

General Securities Principal Examination

Current Firm

QUAKER WEALTH MANAGEMENT LLC

NEWHEISLER WEALTH MANAGEMENT | QUAKER WEALTH MANAGEMENT LLC

CRD#: 284546 / SEC#: 801-108126

RIA

Registered Investment Advisory firm - (7/15/2016 Approved)

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Contact information

Main Address

70 East Main Street, Moorestown, NJ 08057

Mailing Address

Phone number

(856) 222-0110

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/15/2025)

Regulatory assets under management

Total Number of Accounts	1,300
AUM (Assets Under Management)	$ 365,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Daniel R. Roccato

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Richard Roccato's CRS (Customer Relationship Summary).

Certified licenses

Experience

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

QUAKER WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2005

SIE

Date: 8/1/2016

Series 7

Date: 12/21/2004

Series 24

Date: 1/10/2005

Current Firm

QUAKER WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUAKER WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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