Daniel T. Wallick

WALLICK INVESTMENTS

COLUMBIA, SC 29201

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CRD#: 4334083

Professional summary

Daniel T Wallick is a registered financial advisor currently at WALLICK INVESTMENTS, LLC located in Columbia, South Carolina.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Daniel has worked at 3 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel T Wallick's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 20, 2005 - Present

WALLICK INVESTMENTS, LLC

Office #1: 2118 Lincoln Street, Columbia, SC 29201

RIA

CRD#: 162976

COLUMBIA, SC

Past

March 22, 2005 - June 6, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

COLUMBIA, SC

Past

April 11, 2003 - June 6, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

March 12, 2001 - April 3, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

WALLICK INVESTMENTS, LLC

CRD#: 162976 / SEC#: 801-133719

RIA

Registered Investment Advisory firm - (6/24/2025 Approved)

North Carolina

Registered Investment Advisory firm - (7/16/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (7/9/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

South Carolina
(6/20/2005)

IAR

Texas
(7/2/2025)

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

IAR

Series 66

Date: 3/30/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/9/2001

General Securities Representative Examination

Current Firm

WALLICK INVESTMENTS, LLC

CRD#: 162976 / SEC#: 801-133719

RIA

Registered Investment Advisory firm - (6/24/2025 Approved)

North Carolina

Registered Investment Advisory firm - (7/16/2025 Terminated)

South Carolina

Registered Investment Advisory firm - (7/9/2025 Terminated)

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Contact information

Main Address

2118 Lincoln Street, Columbia, SC 29201

Mailing Address

Phone number

(803) 699-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WALLICK INVESTMENTS, LLC ADV BROCHURE 2025 (7/9/2025)

Regulatory assets under management

Total Number of Accounts	231
AUM (Assets Under Management)	$ 112,397,270

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.

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Daniel T. Wallick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel T Wallick's CRS (Customer Relationship Summary).

Certified licenses

Experience

WALLICK INVESTMENTS, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WALLICK INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2001

Series 7

Date: 3/9/2001

Current Firm

WALLICK INVESTMENTS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALLICK INVESTMENTS, LLC

TRUST BUT VERIFY

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