Charles B. Daniel

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CRD#: 2258341

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.

Charles Bradley Daniel was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1992. Charles had worked at 11 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 9, 2018 - November 1, 2018

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

CORONA DEL MAR, CA

Past

May 4, 2016 - August 3, 2017

BALBOA WEALTH PARTNERS, INC.

RIA

CRD#: 282329

NEWPORT BEACH, CA

Past

January 28, 2015 - December 31, 2017

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

NEWPORT BEACH, CA

Past

February 18, 2010 - February 8, 2013

DWR WEALTH MANAGEMENT, LLC

RIA

CRD#: 133743

NEWPORT BEACH, CA

Past

June 9, 2009 - December 31, 2014

DANIEL WEALTH ADVISORS

RIA

CRD#: 150382

SAN JUAN CAPISTRANO, CA

Past

June 5, 2009 - April 20, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

NEWPORT BEACH, CA

Past

June 1, 2009 - June 10, 2009

MORGAN STANLEY

RIA

CRD#: 149777

NEWPORT BEACH, CA

Past

June 1, 2009 - June 10, 2009

MORGAN STANLEY

CRD#: 149777

NEWPORT BEACH, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEWPORT BEACH, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEWPORT BEACH, CA

Past

November 13, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEWPORT BEACH, CA

Past

November 10, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

NEWPORT BEACH, CA

Past

July 1, 2003 - November 13, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEWPORT BEACH, CA

Past

July 1, 2003 - November 13, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEWPORT BEACH, CA

Past

July 8, 1997 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SAN JOSE, CA

Past

September 18, 1995 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 8, 1994 - August 30, 1995

DICKINSON & CO.

CRD#: 689

DES MOINES, IA

Past

August 3, 1992 - August 2, 1994

F.N. WOLF & CO., INC.

CRD#: 13051

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/8/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/31/1992

General Securities Representative Examination

Current Firm

DANIEL WEALTH ADVISORS

CRD#: 150382 / SEC#: 801-78657

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Contact information

Main Address

2930 4th Avenue, Corona Del Mar, CA 92625

Mailing Address

Phone number

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A DANIEL WEALTH ADVISORS (3/9/2018)

FORM ADV PART 2A - INSIGHT 360 BROCHURE (3/9/2018)

ADV PART 2A CCG ADVISORS (3/9/2018)

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

Charles B. Daniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BALBOA WEALTH PARTNERS, INC.

DANIEL WEALTH ADVISORS

DWR WEALTH MANAGEMENT, LLC

DANIEL WEALTH ADVISORS

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

DICKINSON & CO.

F.N. WOLF & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1995

Series 63

Date: 7/27/1992

Series 31

Date: 3/8/2005

Series 7

Date: 7/31/1992

Current Firm

DANIEL WEALTH ADVISORS

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

DANIEL WEALTH ADVISORS

TRUST BUT VERIFY

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