DR
Daniel A. Roberts
FISCAL WISDOM WEALTH MANAGEMENT LLC
Parrish, FL
Some features on this profile are disabled
CRD#: 2208120
DR
Professional summary
Daniel A. Roberts, who also goes by Daniel Anthony Roberts, Daniel Roberts, Dan Roberts, is a registered financial advisor currently at FISCAL WISDOM WEALTH MANAGEMENT LLC located in Parrish, Florida and ROCKEFELLER FINANCIAL LLC located in New York, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 24 firms and has passed the Series 65, Series 66, Series 63, Series 52TO, Series 6TO, Series 99TO, Series 50, SIE, Series 3, Series 7, Series 6, Series 14, Series 54, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Anthony Roberts | Daniel Roberts | Dan Roberts
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. Patten Training & Review, LLC; Investment-related; 12203 Mountain Island Trail, Parrish, FL 34219; Nature of business is compliance consultancy; Compliance Officer; 08/2021-Present; 20 hrs/mo during securities trading hrs; Duties include compliance, supervision, operations services provided as a consultant to various clients. 2.Bates Group; Investment-related; Parrish, FL ; Compliance consultancy; Consultant; Independent Contractor; 09/2023-Present; Approximately 10 hrs/mo; Approximately 10 hrs/mo during securities trading hrs; Serving as a Sub-contractor to the Bates Group through Roberts Compliance Services, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel A. Roberts'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
September 2, 2025 - Present
FISCAL WISDOM WEALTH MANAGEMENT LLC
RIA
CRD#: 168299
Parrish, FL
Current
May 17, 2019 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 45 Rockefeller Plaza Floor 5, New York, NY 10111RIA
BD
CRD#: 291361
New York, NY
Current
July 8, 2019 - Present
IUR SECURITIES LLC
BD
CRD#: 299039
Stanton, IA
Current
June 15, 2021 - Present
VISTIA CAPITAL, LLC
Office #1: 202 6th Street, Suite 303, Castle Rock, CO 80104BD
CRD#: 311342
Castle Rock, CO
Current
February 12, 2024 - Present
SECURITIZE MARKETS, LLC
Office #1: 78 Sw 7th Street Suite 500, Miami, FL 33130BD
CRD#: 283256
MIAMI, FL
Current
April 1, 2025 - Present
ROBERTS & RYAN, INC.
Office #1: 39 Broadway Ste 610, New York, NY 10006-3003BD
CRD#: 19456
New York, NY
Past
June 22, 2023 - December 12, 2023
MIURA CAPITAL, LLC
BD
CRD#: 146193
MIAMI, FL
Past
January 5, 2022 - June 13, 2023
MONMOUTH CAPITAL MANAGEMENT LLC
BD
CRD#: 290248
POINT PLEASANT BEACH, NJ
Past
September 28, 2021 - August 24, 2022
BARNABAS CAPITAL, LLC
BD
CRD#: 297890
CHARLOTTE, NC
Past
August 6, 2021 - August 25, 2022
PEOPLE'S UNITED ADVISORS, INC.
RIA
CRD#: 292454
Stanton, IA
Past
August 6, 2021 - August 25, 2022
PEOPLE'S SECURITIES, INC.
BD
CRD#: 13704
BRIDGEPORT, CT
Past
July 7, 2021 - December 12, 2024
INDEXPERTS, LLC
RIA
CRD#: 314858
Parrish, FL
Past
October 14, 2020 - November 16, 2023
CARL MARKS SECURITIES LLC
BD
CRD#: 144209
Stanton, IA
Past
October 8, 2020 - March 10, 2021
ROBUS CAPITAL PARTNERS LLC
BD
CRD#: 282547
SAN JUAN, PR
Past
June 6, 2019 - January 3, 2023
ADVENTIX GLOBAL MARKETS LLC
BD
CRD#: 170640
STANTON, IA
Past
April 2, 2019 - December 12, 2024
LINDEN THOMAS ADVISORY SERVICES, LLC
RIA
CRD#: 288557
Parrish, FL
Past
February 27, 2019 - September 3, 2025
LINDEN THOMAS AND COMPANY SECURITIES, LLC
BD
CRD#: 290244
CHARLOTTE, NC
Past
June 20, 2018 - February 20, 2019
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
Stanton, IA
Past
June 18, 2018 - February 20, 2019
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
August 1, 2008 - June 12, 2018
NATIONWIDE SECURITIES, LLC
RIA
CRD#: 11173
OMAHA, NE
Past
August 1, 2008 - June 12, 2018
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
OMAHA, NE
Past
January 6, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
OMAHA, NE
Past
August 12, 2005 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
OMAHA, NE
Past
September 13, 2001 - July 5, 2005
FSB PREMIER WEALTH MANAGEMENT, INC.
BD
CRD#: 15898
WATERLOO, IA
Past
April 23, 1998 - September 4, 2001
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 4, 1992 - May 27, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
February 4, 1992 - May 27, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
FW
FISCAL WISDOM WEALTH MANAGEMENT LLC
BGS FINANCIAL SERVICES, LLC | ZITO WEALTH STRATEGIES, INC. | THE RETIREMENT ADVISORS OF NE, INC. | SMARTLIFE FINANCIAL GROUP LLC | SEVEN VENTURES WEALTH MANAGEMENT, LLC | PORTSMOUTH-SMARTLIFE FINANCIAL GROUP, LLC | PORTSMOUTH FINANCIAL SERVICES, INC. | PORTSMOUTH - SMARTLIFE FINANCIAL GROUP, LLC | PLUSPOINT ADVISORS | MILESTONE WEALTH MANAGEMENT | LIFE PLAN RETIREMENT PARTNERS, LLC | KOSIC FINANCIAL GROUP | INSPIRE WEALTH ADVISORY | HERITAGE ASSET MANAGEMENT | GOLD STANDARD FINANCIAL SERVICES, LLC | FORTEM ADVISORS | FISCAL WISDOM WEALTH MANAGEMENT LLC | FISCAL WISDOM WEALTH MANAGEMENT | DEAN BENNETT INSURANCE & FINANCIAL SERVICES, INC. | DAVENPORT WEALTH MANAGEMENT LLC | CHADWICK FINANCIAL ADVISORS
CRD#: 168299 / SEC#: 801-119231
RIA
Registered Investment Advisory firm - (8/3/2020 Approved)Arizona
Registered Investment Advisory firm - (12/1/2020 Terminated)Connecticut
Registered Investment Advisory firm - (2/9/2021 Terminated)District of Columbia
Registered Investment Advisory firm - (12/1/2020 Terminated)Florida
Registered Investment Advisory firm - (12/1/2020 Terminated)Georgia
Registered Investment Advisory firm - (12/2/2020 Terminated)Maryland
Registered Investment Advisory firm - (12/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (12/22/2020 Terminated)New Jersey
Registered Investment Advisory firm - (12/31/2020 Terminated)North Carolina
Registered Investment Advisory firm - (12/1/2020 Terminated)North Dakota
Registered Investment Advisory firm - (12/1/2020 Terminated)Ohio
Registered Investment Advisory firm - (12/1/2020 Terminated)Vermont
Registered Investment Advisory firm - (12/1/2020 Terminated)Virginia
Registered Investment Advisory firm - (12/2/2020 Terminated)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
Colorado(6/21/2021)
IAR
Connecticut(9/2/2025)
RR
Florida(2/12/2024)
RR
Iowa(7/23/2024)
Exams
State Security Law Exam
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
FW
FISCAL WISDOM WEALTH MANAGEMENT LLC
BGS FINANCIAL SERVICES, LLC | ZITO WEALTH STRATEGIES, INC. | THE RETIREMENT ADVISORS OF NE, INC. | SMARTLIFE FINANCIAL GROUP LLC | SEVEN VENTURES WEALTH MANAGEMENT, LLC | PORTSMOUTH-SMARTLIFE FINANCIAL GROUP, LLC | PORTSMOUTH FINANCIAL SERVICES, INC. | PORTSMOUTH - SMARTLIFE FINANCIAL GROUP, LLC | PLUSPOINT ADVISORS | MILESTONE WEALTH MANAGEMENT | LIFE PLAN RETIREMENT PARTNERS, LLC | KOSIC FINANCIAL GROUP | INSPIRE WEALTH ADVISORY | HERITAGE ASSET MANAGEMENT | GOLD STANDARD FINANCIAL SERVICES, LLC | FORTEM ADVISORS | FISCAL WISDOM WEALTH MANAGEMENT LLC | FISCAL WISDOM WEALTH MANAGEMENT | DEAN BENNETT INSURANCE & FINANCIAL SERVICES, INC. | DAVENPORT WEALTH MANAGEMENT LLC | CHADWICK FINANCIAL ADVISORS
CRD#: 168299 / SEC#: 801-119231
RIA
Registered Investment Advisory firm - (8/3/2020 Approved)Arizona
Registered Investment Advisory firm - (12/1/2020 Terminated)Connecticut
Registered Investment Advisory firm - (2/9/2021 Terminated)District of Columbia
Registered Investment Advisory firm - (12/1/2020 Terminated)Florida
Registered Investment Advisory firm - (12/1/2020 Terminated)Georgia
Registered Investment Advisory firm - (12/2/2020 Terminated)Maryland
Registered Investment Advisory firm - (12/2/2020 Terminated)Minnesota
Registered Investment Advisory firm - (12/22/2020 Terminated)New Jersey
Registered Investment Advisory firm - (12/31/2020 Terminated)North Carolina
Registered Investment Advisory firm - (12/1/2020 Terminated)North Dakota
Registered Investment Advisory firm - (12/1/2020 Terminated)Ohio
Registered Investment Advisory firm - (12/1/2020 Terminated)Vermont
Registered Investment Advisory firm - (12/1/2020 Terminated)Virginia
Registered Investment Advisory firm - (12/2/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
61 Maple Avenue, Canton, CT 06019
Mailing Address
Phone number
(678) 202-4066
Established
Firm type
Fiscal year end
# of Employees
22
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,579 |
| AUM (Assets Under Management) | $ 259,793,557 |
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.
