ND
Nancy L. Daniel
SECURE ASSET MANAGEMENT, L.L.C.
Naples, FL
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CRD#: 2398849
ND
Professional summary
Nancy Lynne Daniel, who also goes by Nancy Daniel, Nancy Daniel Falstad, is a registered financial advisor currently at SECURE ASSET MANAGEMENT, L.L.C. located in Naples, Florida and AURORA SECURITIES located in Bay Village, Ohio.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Nancy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy Daniel | Nancy Daniel Falstad
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. VIOLINIST, 20 HOURS A WEEK. NOT INVESTMENT RELATED. 2. FIXED INSURANCE PRODUCTS; LIFE, DISABILITY, ANNUITIES AND LTC. 3. NAME OF OTHER BUSINESS: CRESCENDO FINANCE LLC / CRESCENDO FINANCE; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2009; POSITION/TITLE/RELATIONSHIP: OWNER FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 60-80 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Nancy Lynne Daniel'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
July 8, 2024 - Present
SECURE ASSET MANAGEMENT, L.L.C.
RIA
CRD#: 144046
Naples, FL
Current
July 3, 2024 - Present
AURORA SECURITIES
BD
CRD#: 46147
Bay Village, OH
Past
April 4, 2023 - July 8, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Naples, FL
Past
June 28, 2007 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BAY VILLAGE, OH
Past
June 15, 2007 - July 8, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
BAY VILLAGE, OH
Past
July 2, 2004 - May 2, 2007
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CLEVELAND, OH
Past
July 1, 2004 - May 2, 2007
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CLEVELAND, OH
Past
February 16, 2001 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WEST LAKE, OH
Past
February 2, 2001 - July 1, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 15, 1993 - February 7, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
SA
SECURE ASSET MANAGEMENT, L.L.C.
1031 CONSULTING AND SERVICES GROUP | WITTENBERG INVESTMENTS, INC | TRANSCEND FINANCIAL | TRADEWELL TAX & FINANCIAL | TRADEWELL FINANCIAL | TITAN WEALTH ADVISORS | THOMAS FINANCIAL | SON LIGHT INC. | SECURE MANAGEMENT | SECURE ASSET MANAGEMENT, LLC | SECURE ASSET MANAGEMENT, L.L.C. | RW BOWLIN INVESTMENT SERVICES, INC. | REAL ESTATE TRANSITION SOLUTIONS | RANGE FINANCIAL | PREMIER ESTATE PLANNERS | PACELINE FINANCIAL LLC | NUSTAR FINANCIAL | NEVILLE FINANCIAL GROUP | MURRAY, TYMKEW & ASSOCIATES, INC. | MONEY & INVESTMENT CONCEPTS | INFORM FINANCIAL | HORNYAK FINANCIAL GROUP | HARRISON FINANCIAL | GOLDSTEIN FINANCIAL | GLEN H. CHESTER & ASSOCIATES | FORTNER WEALTH SERVICES | FORTHRIGHT CAPITAL MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP | EVERGREEN INVESTMENTS | CRESCENDO FINANCE | COUGHLIN WEALTH MANAGEMENT | COMPASS FINANCIAL | BLUEBIRD ADVISORY
CRD#: 144046 / SEC#: 801-113954
RIA
Registered Investment Advisory firm - (9/7/2018 Approved)Arizona
Registered Investment Advisory firm - (9/17/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/17/2018 Terminated)Florida
Registered Investment Advisory firm - (9/17/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (9/19/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/18/2018 Terminated)New York
Registered Investment Advisory firm - (9/17/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/17/2018 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
Florida(7/8/2024)
IAR
Florida(7/10/2024)
RR
Illinois(7/3/2024)
RR
Iowa(7/3/2024)
RR
Michigan(7/3/2024)
RR
Ohio(7/3/2024)
IAR
Ohio(7/8/2024)
RR
Pennsylvania(7/3/2024)
RR
South Carolina(7/10/2024)
RR
Tennessee(7/3/2024)
RR
Washington(7/3/2024)
RR
Wyoming(7/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SECURE ASSET MANAGEMENT, L.L.C.
1031 CONSULTING AND SERVICES GROUP | WITTENBERG INVESTMENTS, INC | TRANSCEND FINANCIAL | TRADEWELL TAX & FINANCIAL | TRADEWELL FINANCIAL | TITAN WEALTH ADVISORS | THOMAS FINANCIAL | SON LIGHT INC. | SECURE MANAGEMENT | SECURE ASSET MANAGEMENT, LLC | SECURE ASSET MANAGEMENT, L.L.C. | RW BOWLIN INVESTMENT SERVICES, INC. | REAL ESTATE TRANSITION SOLUTIONS | RANGE FINANCIAL | PREMIER ESTATE PLANNERS | PACELINE FINANCIAL LLC | NUSTAR FINANCIAL | NEVILLE FINANCIAL GROUP | MURRAY, TYMKEW & ASSOCIATES, INC. | MONEY & INVESTMENT CONCEPTS | INFORM FINANCIAL | HORNYAK FINANCIAL GROUP | HARRISON FINANCIAL | GOLDSTEIN FINANCIAL | GLEN H. CHESTER & ASSOCIATES | FORTNER WEALTH SERVICES | FORTHRIGHT CAPITAL MANAGEMENT, LLC | FINANCIAL STRATEGIES GROUP | EVERGREEN INVESTMENTS | CRESCENDO FINANCE | COUGHLIN WEALTH MANAGEMENT | COMPASS FINANCIAL | BLUEBIRD ADVISORY
CRD#: 144046 / SEC#: 801-113954
RIA
Registered Investment Advisory firm - (9/7/2018 Approved)Arizona
Registered Investment Advisory firm - (9/17/2018 Terminated)Colorado
Registered Investment Advisory firm - (9/17/2018 Terminated)Florida
Registered Investment Advisory firm - (9/17/2018 Terminated)Illinois
Registered Investment Advisory firm - (9/7/2018 Terminated)Indiana
Registered Investment Advisory firm - (9/19/2018 Terminated)Michigan
Registered Investment Advisory firm - (9/18/2018 Terminated)New York
Registered Investment Advisory firm - (9/17/2018 Terminated)Ohio
Registered Investment Advisory firm - (9/17/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/17/2018 Terminated)Texas
Registered Investment Advisory firm - (9/17/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2565 West Maple Rd, Troy, MI 48084
Mailing Address
Phone number
(248) 414-1562
Established
Firm type
Fiscal year end
# of Employees
53
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,714 |
| AUM (Assets Under Management) | $ 890,034,531 |
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.
