Daniel R. Rioux
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 Robert Rioux, who also goes by Dan Robert Rioux, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2022 - May 6, 2025
ARK WEALTH MANAGEMENT
July 3, 2018 - January 20, 2022
ONEAMERICA SECURITIES, INC.
July 3, 2018 - January 20, 2022
ONEAMERICA SECURITIES, INC.
March 28, 2014 - May 24, 2018
EAGLE STRATEGIES LLC
May 29, 2001 - May 24, 2018
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ARK WEALTH MANAGEMENT
CRD#: 317264 / SEC#: 801-123029
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
ARK WEALTH MANAGEMENT
CRD#: 317264 / SEC#: 801-123029
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 539 |
| AUM (Assets Under Management) | $ 191,000,000 |
Red Flags
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