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Duane R. Roberts

DANA INVESTMENT ADVISORS
IRVING, TX
Some features on this profile are disabled
CRD#: 4346543
DR

Professional summary

Duane Rudolph Roberts is a registered financial advisor currently at DANA INVESTMENT ADVISORS INC located in Irving, Texas.

Duane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Duane has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

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 Duane Rudolph Roberts'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

November 10, 2009 - Present

DANA INVESTMENT ADVISORS INC

RIA
CRD#: 105879
IRVING, TX
Past

June 5, 2006 - June 5, 2009

CIMARRON ASSET MANAGEMENT, LLC

RIA
CRD#: 139906
GRAPEVINE, TX
Past

October 3, 2002 - May 31, 2006

DANA INVESTMENT ADVISORS INC

RIA
CRD#: 105879
GRAPEVINE, TX

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".
DI
DANA INVESTMENT ADVISORS INC
DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA
Registered Investment Advisory firm - (9/21/1979 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.

Highlighted states indicate IAR registrations

IAR
Texas
(11/10/2009)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/9/2000
Uniform Investment Adviser Law Examination

Current Firm

DI
DANA INVESTMENT ADVISORS INC
DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA
Registered Investment Advisory firm - (9/21/1979 Approved)
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Contact information

Main Address
20700 Swenson Drive, Suite 400, Waukesha, WI 53186-0904
Mailing Address
P.o. Box 1067, Brookfield, WI 53008-1067
Phone number
(262) 782-3631
Established
Firm type
Fiscal year end
# of Employees
62

SEC notice filing (52 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts3,699
AUM (Assets Under Management)$ 5,757,433,150

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.

Company Information

DANA INVESTMENT ADVISORS INC

CRD#: 105879Irving, TX

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