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DD

Darryl L. Dagen

Some features on this profile are disabled
CRD#: 2600535
DD

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.

Darryl Lamar Dagen, who also goes by Darryl Dagen, was a registered financial professional .

Darryl is a previously registered financial professional and started their career in finance in 1995. Darryl had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Darryl Dagen

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

December 8, 2016 - December 2, 2019

MOLONEY SECURITIES ASSET MANAGEMENT LLC

RIA
CRD#: 282448
VAIL, CO
Past

January 27, 2016 - December 31, 2016

MOLONEY INVESTMENT ADVISORY LLC

RIA
CRD#: 282140
VAIL, CO
Past

October 2, 2015 - December 2, 2019

MOLONEY SECURITIES CO., INC.

BD
CRD#: 38535
MANCHESTER, MO
Past

September 28, 2015 - April 27, 2016

MOLONEY SECURITIES CO., INC.

RIA
CRD#: 38535
AVON, CO
Past

February 5, 2013 - October 31, 2013

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
DENVER, CO
Past

February 1, 2013 - October 31, 2013

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
DENVER, CO
Past

June 1, 2009 - February 11, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CENTENNIAL, CO
Past

June 1, 2009 - February 11, 2011

MORGAN STANLEY

BD
CRD#: 149777
CENTENNIAL, CO
Past

April 28, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CENTENNIAL, CO
Past

April 24, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CENTENNIAL, CO
Past

April 2, 2007 - December 10, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
CENTENNIAL, CO
Past

April 2, 2007 - December 10, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
CENTENNIAL, CO
Past

June 9, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
CENTENNIAL, CO
Past

June 6, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CENTENNIAL, CO
Past

January 31, 2003 - July 7, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
LANCASTER , PA
Past

January 7, 2003 - July 7, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 15, 1998 - April 10, 2000

CFC SECURITIES, INC.

BD
CRD#: 44748
NEW YORK, NY
Past

September 18, 1995 - January 13, 1999

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, 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".
MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES

CRD#: 282448 / SEC#: 801-107149

RIA
Registered Investment Advisory firm - (12/31/2015 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/24/1996
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 31
Date: 6/4/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/10/1995
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/12/1999
General Securities Principal Examination

Current Firm

MS
MOLONEY SECURITIES ASSET MANAGEMENT LLC
ADVANCED FINANCIAL SOLUTIONS LLC | WESTPORT ADVISORY GROUP, LLC | WARREN FINANCIAL SERVICES | VANCE CAPITAL MANAGEMENT, LLC | TEAM DUNCAN FINANCIAL | SYNERGISTIC FINANCIAL CENTER | SUGAR CREEK ADVISORY GROUP | ST. LOUIS ASSET MANAGEMENT | ST. CROIX CAPITAL MANAGEMENT | SENTINEL WEALTH MANAGEMENT | SALISH WEALTH MANAGEMENT | RUSSELL WEALTH MANAGEMENT | ROYAL ROUTE COMPANY, LLC | PLANNED INVESTMENT COMPANY, INC. | NYE INVESTMENT PLANNERS, INC. | NMG FINANCIAL SERVICES | NETSTREET BROKERAGE | MOLONEY SECURITIES ASSET MANAGEMENT LLC | MINNESOTA VALLEY INVESTMENTS | LITTLEWOOD FINANCIAL SERVICES, LLC | LILLEBERG FINANCIAL GROUP | KEKERIS FINANCIAL GROUP | JCL CAPITAL MANAGEMENT, LLC | INVESTMENT CENTER OF GREENVILLE | INVESTMENT CENTER OF ESTES PARK, INC. | HERITAGE INVESTMENT MANAGEMENT, LLP | GRAND GLAIZE WEALTH MANAGEMENT | CP WEALTH | CHRISTIANSON FINANCIAL ADVISORS LLC | BRIDGES FINANCIAL | ASSET ALLIANCE FINANCIAL WEALTH MANAGEMENT AND PLANNING | ARTISAN ASSET MANAGEMENT, LLC | ARLINGTON FINANCIAL SERVICES

CRD#: 282448 / SEC#: 801-107149

RIA
Registered Investment Advisory firm - (12/31/2015 Approved)
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Contact information

Main Address
13537 Barrett Parkway Drive, Suite 300, Manchester, MO 63021
Mailing Address
Phone number
(314) 909-0600
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MSAM - FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts4,390
AUM (Assets Under Management)$ 1,389,405,894

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
01/14/2025
Cover Page
Report
12/20/2023
Cover Page
Report
12/22/2022
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.

Company Information

MOLONEY SECURITIES ASSET MANAGEMENT LLC

CRD#: 282448

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