Daniel H. Soderberg

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CRD#: 2402870

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 Henry Soderberg, who also goes by Dan Soderberg, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1993. Daniel had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Soderberg

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- DAN SODERBERG; VACATION RENTAL PROPERTY: START: APRIL 2008: 1016 CENTRAL CENTRAL AVE, OCEAN CITY, NJ: OWNER: MANAGE RENTAL AND MAINTENANCE ACTIVITY FOR THE PROPERTY: 10 HRS PER MONTH: 4 HRS DURING TRADING HOURS 2-COMPASS ION ADVISORS; CONSHOHOCKEN, PA; TITLE: V.P.; START DATE: 4/1/2010; 50% TIME SPENT.

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

January 27, 2014 - October 1, 2024

COMPASS ION ADVISORS, LLC

RIA

CRD#: 166418

CONSHOHOCKEN, PA

Past

April 26, 2013 - January 29, 2014

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

RIA

CRD#: 119890

W. CONSHOHOCKEN, PA

Past

April 5, 2010 - December 31, 2022

APW CAPITAL, INC.

CRD#: 43814

WEST CONSHOHOCKEN, PA

Past

March 31, 2009 - April 15, 2010

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

LANSDALE, PA

Past

November 30, 1993 - April 15, 2010

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

LANSDALE, PA

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".

COMPASS ION ADVISORS, LLC

CRD#: 166418 / SEC#: 801-78503

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/29/1993

General Securities Representative Examination

Current Firm

COMPASS ION ADVISORS, LLC

CRD#: 166418 / SEC#: 801-78503

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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Contact information

Main Address

300 Conshohocken State Road Suite 230, Conshohocken, PA 19428

Mailing Address

Phone number

(610) 228-2200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

07 31 2025 CIA FORM ADV PART 2A FINAL (7/31/2025)

Regulatory assets under management

Total Number of Accounts	3,547
AUM (Assets Under Management)	$ 1,328,104,988

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/07/2024	Cover Page	Report
04/17/2024	Cover Page	Report
12/22/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Daniel H. Soderberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMPREHENSIVE CAPITAL MANAGEMENT, INC.

APW CAPITAL, INC.

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

Primary Firm SEC Registration

COMPASS ION ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2009

Series 63

Date: 4/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/29/1993

Current Firm

COMPASS ION ADVISORS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COMPASS ION ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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