DA
Daniel M. Agoglia
INDEPENDENCE SQUARE HOLDINGS
King Of Prussia, PA 19406
Some features on this profile are disabled
CRD#: 2840166
DA
Professional summary
Daniel Martin Agoglia is a registered financial advisor currently at INDEPENDENCE SQUARE HOLDINGS, LLC located in King Of Prussia, Pennsylvania and LPL FINANCIAL LLC located in King Of Prussia, Pennsylvania.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. 9/18/2019 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 2/12/2020 - Independence Square Holdings, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/01/2019 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 09/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 02/13/2023 - The Plan Advocate - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/30/2023 - 160 Hours Per month/8 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Martin Agoglia's 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®
NoneExperience
Current
January 17, 2020 - Present
INDEPENDENCE SQUARE HOLDINGS, LLC
Office #1: 150 South Warner Road Suite 300, King Of Prussia, PA 19406RIA
CRD#: 300139
King Of Prussia, PA
Current
February 16, 2017 - Present
LPL FINANCIAL LLC
Office #1: 150 S Warner Rd Ste 300, King Of Prussia, PA 19406-2859RIA
BD
CRD#: 6413
King Of Prussia, PA
Past
May 25, 2017 - January 14, 2020
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
KING OF PRUSSIA, PA
Past
April 29, 2009 - December 13, 2012
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
May 23, 2006 - April 30, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
April 16, 1998 - April 7, 2006
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS
CRD#: 300139 / SEC#: 801-116750
RIA
Registered Investment Advisory firm - (6/7/2019 Approved)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.RR
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
RR
Massachusetts(3/16/2023)
RR
Pennsylvania(5/15/2017)
IAR
Pennsylvania(1/17/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/24/2002
Limited Representative-Equity Trader ExamSRO Registrations
RR
FINRA
Current Firm
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS
CRD#: 300139 / SEC#: 801-116750
RIA
Registered Investment Advisory firm - (6/7/2019 Approved)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 South Warner Road Suite 300, King Of Prussia, PA 19406
Mailing Address
Phone number
(610) 520-1500
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,985 |
| AUM (Assets Under Management) | $ 1,488,010,409 |
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.
