Ashley C. Daggs

PARALLEL ADVISORS

San Francisco, CA 94105

Some features on this profile are disabled

CRD#: 2592728

Professional summary

Ashley Charles Daggs, CFP®, who also goes by Ash Daggs, Ashley Daggs, is a registered financial advisor currently at PARALLEL ADVISORS, LLC located in San Francisco, California.

Ashley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Ashley has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ash Daggs | Ashley Daggs

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) - RIA

Click below to view Ashley Charles Daggs'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

January 22, 2024 - Present

PARALLEL ADVISORS, LLC

Office #1: 150 Spear Street Suite 1600, San Francisco, CA 94105

RIA

CRD#: 140800

San Francisco, CA

Past

August 27, 2020 - February 1, 2024

SVB WEALTH

RIA

CRD#: 172832

San Francisco, CA

Past

April 10, 2017 - August 7, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

April 10, 2017 - August 7, 2020

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

January 3, 2011 - April 12, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 3, 2011 - April 12, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

November 10, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

November 16, 2007 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

March 29, 2000 - October 29, 2007

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

October 6, 1997 - March 7, 2000

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

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".

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 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.

Highlighted states indicate IAR registrations

IAR

California
(1/22/2024)

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: 11/9/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/19/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/19/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/19/2023

General Securities Sales Supervisor - Options Module Examination

Current Firm

PARALLEL ADVISORS, LLC

CRD#: 140800 / SEC#: 801-68107

RIA

Registered Investment Advisory firm - (6/26/2007 Approved)

California

Registered Investment Advisory firm - (7/12/2007 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

150 Spear Street Suite 1600, San Francisco, CA 94105

Mailing Address

Phone number

(866) 627-6984

Established

Firm type

Fiscal year end

# of Employees

126

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	14,928
AUM (Assets Under Management)	$ 8,735,387,332

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ashley C. Daggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashley Charles Daggs's CRS (Customer Relationship Summary).

Certified licenses

Experience

SVB WEALTH

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

THOMAS WEISEL PARTNERS LLC

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

PARALLEL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2009

Series 63

Date: 11/3/1997

Series 7TO

Date: 12/19/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/10/1998

Series 6

Date: 10/3/1997

Series 10

Date: 12/19/2023

Series 9

Date: 12/19/2023

Current Firm

PARALLEL ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARALLEL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors