Daniel Clifton Dooley
Professional Summary
Daniel Clifton Dooley, who also goes by Dan Dooley, Daniel C Dooley, is a registered financial advisor currently at MIAI, INC. located in Dallas, Texas and MAPLEWOOD INVESTMENTS, INC. located in Dallas, Texas. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 57TO, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Dooley, Daniel C Dooley
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
EDWARD W. MURRAY | MIAI, INC. | MAPLEWOOD INVESTMENTS, INC. | GOODWIN SCHROEDER SECURITIES, INC. | FLEMING WATSON FINANCIAL SERVICES | FAIRFIELD INVESTMENT SERVICES | EMERALD FINANCIAL GROUP
Contact Information
Main Address
12222 Merit Dr Suite 1390, Dallas, TX 75251Phone Number
(214) 739-5677# of Employees
4SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
276AUM (Assets Under Management)
$213,321,166Similar Advisors
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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.
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Primary Firm SEC Registration
EDWARD W. MURRAY | MIAI, INC. | MAPLEWOOD INVESTMENTS, INC. | GOODWIN SCHROEDER SECURITIES, INC. | FLEMING WATSON FINANCIAL SERVICES | FAIRFIELD INVESTMENT SERVICES | EMERALD FINANCIAL GROUP
State Registrations and Notice Filings
(11/18/2005)
(3/9/2000)
(3/2/2000)
(1/7/2004)
(6/7/2000)
(2/17/2006)
(10/15/2004)
(1/5/2004)
(3/15/2000)
(1/3/2014)
(1/25/2000)
(2/17/2004)
(4/12/2000)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 1999SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Clifton Dooley's CRS (Customer Relationship Summary).
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