Daniel Allen Dague | Financial Professional | Alliance, Ohio | PROSPERITY WEALTH MANAGEMENT, INC.

Professional summary

Daniel Allen Dague is a registered financial advisor currently at PROSPERITY WEALTH MANAGEMENT, INC. located in Alliance, Ohio and FORTUNE FINANCIAL SERVICES, INC. located in Alliance, Ohio.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

PART OWNER OF BUCKEYE TAX AND FINANCIAL SERVICE LLC (DBA) LOCATED AT 319 EAST STATE STREET, ALLIANCE, OH 44601. DUTIES INCLUDE FULL TIME TAX PREPARATION DURING TAX SEASON. ALSO CONDUCTS INSURANCE SALES ON A COMMISSION BASIS. FIXED ANNUITIES AND HEALTH Representative has met the requirements of the IRS to become an enrolled agent. Representative also does sales of Medicare supplemental insurance and Medicare advantage plans. This is commission based Taxmasteronline.com Owner enrolled agent__/__ IAR with Prosperity Wealth Management

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Allen Dague's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 6, 2020 - Present

PROSPERITY WEALTH MANAGEMENT, INC.

Office #1: 333 E State Street, Alliance, OH 44601

RIA

CRD#: 174328

Alliance, OH

Current

January 13, 2015 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 333 E. State Street, Alliance, OH 44601

BD

CRD#: 42150

Alliance, OH

Past

November 21, 2019 - December 31, 2019

PROSPERITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 174328

Alliance, OH

Past

December 3, 2004 - January 7, 2015

INVESTMENT NETWORK, INC.

BD

CRD#: 127724

N. CANTON, OH

Past

November 21, 2003 - September 28, 2004

LEGACY FINANCIAL SERVICES, INC.

BD

CRD#: 38697

PETALUMA, CA

Past

July 18, 2002 - November 6, 2003

QUESTAR CAPITAL CORPORATION

BD

CRD#: 43100

MINNEAPOLIS, MN

Past

March 15, 1999 - July 2, 2002

CHARTER ONE SECURITIES, INC.

BD

CRD#: 13373

CLEVELAND, OH

Past

June 10, 1997 - March 15, 1999

LOCUST STREET SECURITIES, INC.

BD

CRD#: 1703

DES MOINES, IA

Past

October 3, 1995 - April 30, 1997

KEYBANC CAPITAL MARKETS INC.

BD

CRD#: 566

CLEVELAND, OH

Past

October 27, 1993 - September 22, 1994

MULTI-BANK SECURITIES, INC.

BD

CRD#: 22098

SOUTHFIELD, MI

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".

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(1/13/2015)

IAR

Ohio
(1/6/2020)

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

State Security Law Exam

RR

IAR

Series 66

Date: 10/16/2019

Uniform Combined State Law Examination

State Security Law Exam

RR

Series 63

Date: 10/21/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 3

Date: 11/28/1994

National Commodity Futures Examination

General Industry/Product Exam

RR

Series 7

Date: 10/26/1993

General Securities Representative Examination

SRO Registrations

RR

FINRA

Current Firm

PW

PROSPERITY WEALTH MANAGEMENT, INC.

CRD#: 174328 / SEC#: 801-101485

RIA

Registered Investment Advisory firm - (7/14/2015 Approved)

California

Registered Investment Advisory firm - (8/14/2015 Terminated)

Georgia

Registered Investment Advisory firm - (7/27/2015 Terminated)

Illinois

Registered Investment Advisory firm - (7/14/2015 Terminated)

Minnesota

Registered Investment Advisory firm - (7/15/2015 Terminated)

North Carolina

Registered Investment Advisory firm - (7/15/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/16/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2333 San Ramon Valley Blvd. Suite 200, San Ramon, CA 94583

Mailing Address

Phone number

(925) 791-4444

Established

Firm type

Fiscal year end

# of Employees

51

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,832
AUM (Assets Under Management)	$ 442,192,443

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

Daniel A. Dague

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Allen Dague's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

PROSPERITY WEALTH MANAGEMENT, INC.

INVESTMENT NETWORK, INC.

LEGACY FINANCIAL SERVICES, INC.

QUESTAR CAPITAL CORPORATION

CHARTER ONE SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

KEYBANC CAPITAL MARKETS INC.

MULTI-BANK SECURITIES, INC.

Primary Firm SEC Registration

PROSPERITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2019

Series 63

Date: 10/21/2004

SIE

Date: 10/1/2018

Series 3

Date: 11/28/1994

Series 7

Date: 10/26/1993

FINRA

Current Firm

PROSPERITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPERITY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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