Daniel G. Rotter

HAMPTON FINANCIAL SERVICES

NAPERVILLE, IL

Some features on this profile are disabled

CRD#: 2905257

Professional summary

Daniel Gordon Rotter, CFP® is a registered financial advisor currently at HAMPTON FINANCIAL SERVICES located in Naperville, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Daniel has worked at 5 firms and has passed the Series 63, Series 65, Series 62 and Series 7 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.

I AM THE PRESIDENT/OWNER OF HAMPTON FINANCIAL SERVICES, INC., LOCATED AT 2011 N. OAK WOOD DR., ARLINGTON HEIGHTS, I.L. 60004-7215. MY START DATE WAS AUGUST, 1991. THIS BUSINESS IS NOT INVESTMENT-RELATED. THE NATURE OF THIS BUSINESS IS FINANCIAL PLANNING. MY DUTIES INCLUDE FINANCIAL PLANNING FOR CONTRACTED CLIENTS AND PRO-BONO ASSISTANCE FOR CLIENTS GETTING OUT OF DEBT. I DEVOTE ABOUT 20 HOURS PER MONTH TO THIS BUSINESS, ABOUT 2 HOURS ARE DURING SECURITIES TRADING HOURS. IN ADDITION I DO TAX PLANNING & FILING BOTH FEDERAL AND STATE. I ALSO SELL LIFE INSURANCE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Gordon Rotter'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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

January 2, 2002 - Present

HAMPTON FINANCIAL SERVICES

RIA

CRD#: 124050

NAPERVILLE, IL

Past

July 16, 2010 - March 5, 2012

ACCELERATED CAPITAL GROUP

CRD#: 41270

COSTA MESA, CA

Past

August 5, 2008 - July 9, 2010

LONGVIEW FINANCIAL GROUP, INC

CRD#: 38286

PALATINE, IL

Past

September 11, 1998 - February 5, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 27, 1997 - September 17, 1998

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/2/2002)

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

Series 63

Date: 10/16/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/6/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 62

Date: 8/4/2008

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 7

Date: 8/18/1997

General Securities Representative Examination

Current Firm

HAMPTON FINANCIAL SERVICES

HAMPTON FINANCIAL SERVICES | HAMPTON FINANCIAL SERVICES, INC.

CRD#: 124050 / SEC#:

Illinois

Registered Investment Advisory firm - (1/2/2002 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

Naperville, IL

Mailing Address

Phone number

(847) 749-3481

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel G. Rotter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Gordon Rotter's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMPTON FINANCIAL SERVICES

ACCELERATED CAPITAL GROUP

LONGVIEW FINANCIAL GROUP, INC

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/2008

Series 65

Date: 1/6/1998

Series 62

Date: 8/4/2008

Series 7

Date: 8/18/1997

Current Firm

HAMPTON FINANCIAL SERVICES

Contact information

Documents

Red Flags

Company Information

HAMPTON FINANCIAL SERVICES

TRUST BUT VERIFY

Similar Advisors