Daniel R. Dagen

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CRD#: 2605598

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 Ray Dagen was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

November 1, 2013 - October 8, 2015

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

NEW YORK, NY

Past

October 28, 2013 - October 1, 2015

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

February 18, 2011 - October 30, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

NEW YORK, NY

Past

July 11, 2005 - February 16, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NEW YORK, NY

Past

April 15, 1997 - May 23, 2003

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

August 16, 1995 - May 9, 1997

AXIOM CAPITAL MANAGEMENT, INC.

CRD#: 26580

NEW YORK, NY

Past

April 25, 1995 - August 15, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, 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".

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 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.

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 65

Date: 12/8/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/28/2014

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/31/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

CRD#: 150040 / SEC#: 801-112592

RIA

Registered Investment Advisory firm - (3/9/2018 Approved)

New Jersey

Registered Investment Advisory firm - (4/13/2018 Terminated)

New York

Registered Investment Advisory firm - (4/5/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (4/5/2018 Terminated)

Texas

Registered Investment Advisory firm - (4/5/2018 Terminated)

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Contact information

Main Address

521 Fifth Ave 12th Floor, New York, NY 10175

Mailing Address

Phone number

(212) 953-4910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAIDLAW WEALTH MANAGEMENT FORM ADV PART 2A (MARCH 28, 2025) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	235
AUM (Assets Under Management)	$ 114,764,475

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 R. Dagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LAIDLAW & COMPANY (UK) LTD.

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

SANDS BROTHERS & CO., LTD.

AXIOM CAPITAL MANAGEMENT, INC.

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

LAIDLAW WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1999

Series 63

Date: 5/17/1995

SIE

Date: 10/1/2015

Series 7

Date: 4/24/1995

Series 26

Date: 1/28/2014

Series 8

Date: 3/31/1999

Current Firm

LAIDLAW WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAIDLAW WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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