Daniel W. Roberts
Professional summary
Daniel Walter Roberts, who also goes by Daniel Walter Roberts, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in San Rafael, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1972. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, Series 99TO, SIE, Series 1, Series 53, Series 24, Series 4, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Walter Roberts's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 9, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 100 Smith Ranch Road Suite 110, San Rafael, CA 94903November 26, 2024 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
December 23, 2013 - October 24, 2024
PORTSMOUTH FINANCIAL SERVICES
December 23, 2013 - December 31, 2024
PORTSMOUTH FINANCIAL SERVICES
January 3, 2011 - December 31, 2013
ROBERTS & RYAN, INC.
June 3, 1987 - November 13, 2019
ROBERTS & RYAN, INC.
June 2, 1987 - June 24, 1987
FIRST AMERICA EQUITIES CORP.
February 24, 1978 - March 7, 1987
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
August 1, 1972 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/9/2024)
Exams
Series 52TO
Date: 2/13/2025
Municipal Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 7/20/1972
Registered Representative ExaminationSeries 40
Date: 9/23/1976
Registered Principal ExaminationFINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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Company Information
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856San Rafael, CA 94903TRUST BUT VERIFY
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