Daniel S. Rowlands
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 Scott Rowlands, CFP®, who also goes by Daniel S Rowlands, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1997. Daniel had worked at 3 firms and has passed the Series 66, Series 31 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
August 10, 2005 - August 22, 2013
FISHER INVESTMENTS
October 14, 2003 - February 16, 2005
USAA INVESTMENT SERVICES COMPANY
October 3, 2003 - February 16, 2005
USAA INVESTMENT SERVICES COMPANY
January 12, 1998 - August 25, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 1997 - August 25, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
Red Flags
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