DD
Daniel C. Dooley
MIAI
Dallas, TX 75251
Some features on this profile are disabled
CRD#: 1699483
DD
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 79TO, SIE, Series 55, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Dooley | Daniel C Dooley
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.
Director of Blanche Stanley Foundation since 11/2013-spends less than 1% of time per month and assists in managing the assets of the foundation. Maplewood Investments, Inc. (BD) and MIAI, Inc. (RIA). Both businesses are investment-related. Both businesses are 12222 Merit Drive, Suite 1390, Dallas, TX 75251. Maplewood Investments, Inc began in 11/1999. I am the President, CEO, and a Registered Rep. 120 hours per month devoted to this business and 4-6 hours are devoted during trading hours. MIAI began in 8/2002. I am President of MIAI and an Investment Advisor Representative. 120 hours per month devoted to this business and 4-6 hours are devoted during trading hours. My duties are assisting client with investments. Integrated Advisors Network-Investment Related Advisory Firm 8117 Preston Road, Ste 300, Dallas, TX 75225 Began 2/2022 as an Independent Investment Advisor Representative. 40 hours per month devoted to this business and 1 hour is devoted during trading hours. The duties will include assisting clients with investments. As of 9/2022 closed relationship. No business occurred.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Clifton Dooley'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
February 17, 2004 - Present
MIAI, INC.
Office #1: 12222 Merit Dr Ste. 1800, Dallas, TX 75251RIA
CRD#: 111695
Dallas, TX
Current
February 16, 2000 - Present
MAPLEWOOD INVESTMENTS, INC.
Office #1: 12222 Merit Dr Suite 1390, Dallas, TX 75251Office #3: 12222 Merit Dr Suite 1390, Dallas, TX 75251BD
CRD#: 103723
Dallas, TX
Past
March 8, 2022 - November 30, 2022
INTEGRATED ADVISORS NETWORK LLC
RIA
CRD#: 171991
Dallas, TX
Past
January 25, 2000 - December 31, 2002
MIAI, INC.
RIA
CRD#: 111695
DALLAS, TX
Past
October 21, 1996 - October 31, 2002
VESTECH SECURITIES, INC.
BD
CRD#: 41409
ST. LOUIS, MO
Past
January 6, 1994 - March 25, 1994
SECURITRADE CORPORATION
BD
CRD#: 35520
IRVING, TX
Past
January 4, 1993 - December 2, 1996
WORLD CHOICE SECURITIES, INC.
BD
CRD#: 30933
COLUMBUS, OH
Past
February 19, 1991 - August 29, 2016
GOODWIN SECURITIES, INC
BD
CRD#: 27523
ALBUQUERQUE, NM
Past
September 25, 1989 - February 13, 1990
DOVIAK SECURITIES, INC.
BD
CRD#: 22868
Past
September 19, 1989 - January 29, 1991
LOWELL & COMPANY, INC.
BD
CRD#: 24913
LUBBOCK, TX
Past
September 20, 1988 - April 11, 2000
MAY FINANCIAL CORPORATION
BD
CRD#: 3927
DALLAS, TX
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".
MI
MIAI, INC.
EDWARD W. MURRAY | MIAI, INC. | MAPLEWOOD INVESTMENTS, INC. | GOODWIN SCHROEDER SECURITIES, INC. | FLEMING WATSON FINANCIAL SERVICES | FAIRFIELD INVESTMENT SERVICES
CRD#: 111695 / SEC#: 801-61363
RIA
Registered Investment Advisory firm - (8/2/2002 Approved)Ohio
Registered Investment Advisory firm - (6/9/2004 Terminated)Texas
Registered Investment Advisory firm - (8/12/2002 Terminated)West Virginia
Registered Investment Advisory firm - (6/4/2004 Cancelled)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
Arkansas(11/18/2005)
RR
California(3/9/2000)
RR
Colorado(3/2/2000)
RR
Louisiana(1/7/2004)
RR
New Mexico(6/7/2000)
IAR
New Mexico(2/17/2006)
RR
New York(10/15/2004)
RR
North Carolina(1/5/2004)
RR
Oklahoma(3/15/2000)
RR
Tennessee(1/3/2014)
RR
Texas(1/25/2000)
IAR
Texas(2/17/2004)
RR
Virginia(4/12/2000)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/22/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MI
MIAI, INC.
EDWARD W. MURRAY | MIAI, INC. | MAPLEWOOD INVESTMENTS, INC. | GOODWIN SCHROEDER SECURITIES, INC. | FLEMING WATSON FINANCIAL SERVICES | FAIRFIELD INVESTMENT SERVICES
CRD#: 111695 / SEC#: 801-61363
RIA
Registered Investment Advisory firm - (8/2/2002 Approved)Ohio
Registered Investment Advisory firm - (6/9/2004 Terminated)Texas
Registered Investment Advisory firm - (8/12/2002 Terminated)West Virginia
Registered Investment Advisory firm - (6/4/2004 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12222 Merit Dr Suite 1390, Dallas, TX 75251
Mailing Address
Phone number
(214) 739-5677
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 276 |
| AUM (Assets Under Management) | $ 213,321,166 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MIAI, INC.
CRD#: 111695Dallas, TX 75251TRUST BUT VERIFY
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