Daniel M. Hendricks
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 Martin Hendricks, who also goes by Dan Hendricks, Daniel Martin Hendricks, Daniel Hendricks, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2012. Daniel had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2026 - August 7, 2026
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 26, 2025 - August 7, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 19, 2023 - November 14, 2025
LEVEL FOUR ADVISORY SERVICES
January 19, 2023 - November 14, 2025
LEVEL FOUR FINANCIAL, LLC
January 11, 2022 - April 26, 2022
CITIGROUP GLOBAL MARKETS INC.
January 11, 2022 - April 26, 2022
CITIGROUP GLOBAL MARKETS INC.
January 6, 2021 - January 3, 2022
VERITY INVESTMENTS, INC.
December 18, 2020 - January 3, 2022
VERITY ASSET MANAGEMENT
August 1, 2018 - July 22, 2020
BB&T SECURITIES, LLC
August 1, 2018 - July 22, 2020
BB&T SECURITIES, LLC
March 9, 2015 - August 1, 2018
PRUCO SECURITIES, LLC.
February 4, 2015 - August 1, 2018
PRUCO SECURITIES, LLC.
August 6, 2013 - February 10, 2015
WADDELL & REED
May 22, 2013 - February 10, 2015
WADDELL & REED
August 1, 2012 - December 21, 2012
TD AMERITRADE, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
