Daniel L. Hess
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 Loveland Hess, who also goes by Daniel L Hess, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2006. Daniel had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2019 - June 15, 2023
FISHER INVESTMENTS
November 17, 2017 - March 26, 2018
DIAMOND WEALTH MANAGEMENT, LLC
August 1, 2017 - August 15, 2017
MML INVESTORS SERVICES, LLC
August 1, 2017 - August 15, 2017
MML INVESTORS SERVICES, LLC
January 30, 2012 - March 28, 2017
SCHWAB WEALTH ADVISORY, INC.
February 3, 2009 - January 30, 2012
CHARLES SCHWAB & CO., INC.
September 29, 2006 - March 28, 2017
CHARLES SCHWAB & CO., INC.
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
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.
