Daniel E. Jones

CUNA BROKERAGE SERVICES

Parkersburg, IA

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CRD#: 2745095

Professional summary

Daniel Edward Jones, who also goes by Daniel Edward Jones, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Parkersburg, Iowa.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Edward Jones

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) - BD

Click below to view Daniel Edward Jones'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®

None

Experience

Current

October 3, 2023 - Present

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Parkersburg, IA

Past

September 19, 2022 - December 31, 2022

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

OWOSSO, MI

Past

March 26, 2018 - October 5, 2020

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

March 21, 2018 - October 5, 2020

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Bay City, MI

Past

June 5, 2014 - October 11, 2016

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

ESSEXVILLE, MI

Past

May 29, 2014 - October 11, 2016

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

ESSEXVILLE, MI

Past

September 12, 2011 - September 7, 2012

HANTZ FINANCIAL SERVICES, INC.

RIA

CRD#: 46047

DAVISON, MI

Past

April 14, 2011 - September 7, 2012

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

DAVISON, MI

Past

February 3, 2009 - January 3, 2011

SENTINEL SECURITIES, LLC.

CRD#: 110942

CLARKSTON, MI

Past

December 23, 2008 - February 2, 2009

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CLARKSTON, MI

Past

October 20, 2006 - October 30, 2007

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CLARKSTON, MI

Past

January 3, 2000 - October 20, 2006

SIGMA FINANCIAL CORPORATION

CRD#: 14303

CLARKSTON, MI

Past

March 19, 1999 - January 9, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 19, 1997 - March 19, 1999

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 1, 1996 - October 25, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 1, 1996 - October 25, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Michigan
(10/3/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/17/1996

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: 6/24/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS

CRD#: 13941 / SEC#: 801-60099, 8-30027

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

2000 Heritage Way, Waverly, IA 50677

Mailing Address

2000 Heritage Way, Waverly, IA 50677

Phone number

(319) 352-4090

Established

Wisconsin since 05/11/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

716

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CBSI WRAP FEE BROCHURE 3-2022 (3/31/2022)

CBSI FORM ADV 2A 3-2022 (3/31/2022)

Direct owners and executive officers

Name	Position	CRD#
CUNA MUTUAL INVESTMENT CORPORATION	OWNER
BARBATO, PAUL DAMIEN	SENIOR VICE PRESIDENT	7064310
BOAN, JOSEPH SALVATORE	PRESIDENT/DIRECTOR	2379993
BROCK, JENNY MARIE	TREASURER	6654483
COPELAND, CHRISTOPHER JUDD	DIRECTOR	6437117
HABERSTICH, MELISSA M	CHIEF COMPLIANCE OFFICER	4190838
KARLS, WILLIAM ANTON	DIRECTOR	6847792
POPPE, CHRISTINE ELIZABETH	LICENSING OFFICER	4080909
SCHULTZ, TAMMY LYNN	DIRECTOR	7991087
THOMAS, BARTH T	SECRETARY/DIRECTOR	2849100

Regulatory assets under management

Total Number of Accounts	20,233
AUM (Assets Under Management)	$ 5,790,352,615

Disclosures

Regulatory Event	5
Arbitration	6

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel E. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Edward Jones's CRS (Customer Relationship Summary).

Certified licenses

Experience

FARMERS FINANCIAL SOLUTIONS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA RETIREMENT ADVISORS, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

HANTZ FINANCIAL SERVICES, INC.

HANTZ FINANCIAL SERVICES, INC.

SENTINEL SECURITIES, LLC.

QUESTAR CAPITAL CORPORATION

QUESTAR CAPITAL CORPORATION

SIGMA FINANCIAL CORPORATION

LPL FINANCIAL LLC

VESTAX SECURITIES CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2011

Series 63

Date: 5/17/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/24/1996

FINRA

Current Firm

CUNA BROKERAGE SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CUNA BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

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