Daniel L. Riddle
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 Lindo Riddle, who also goes by Dan Riddle, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1997. Daniel had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - December 31, 2018
VERITY ASSET MANAGEMENT
November 30, 2005 - July 29, 2011
VERITY INVESTMENTS, INC.
November 30, 2005 - December 31, 2018
VERITY INVESTMENTS, INC.
July 10, 2003 - November 15, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 27, 2003 - November 15, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 15, 2002 - July 10, 2003
WEALTHSPIRE ADVISORS
February 24, 1997 - June 25, 2003
INVESTORS SECURITY COMPANY, INC.
Primary Firm SEC Registration
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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