Daniel G. Brown
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 Glen Brown was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2016 - November 14, 2017
AVANTAX ADVISORY SERVICES
July 29, 2016 - November 14, 2017
AVANTAX INVESTMENT SERVICES, INC.
December 9, 2015 - July 26, 2016
WADDELL & REED
October 27, 2015 - July 26, 2016
WADDELL & REED
November 19, 2007 - June 22, 2009
EQUITABLE ADVISORS, LLC
November 14, 2007 - June 22, 2009
EQUITABLE ADVISORS, LLC
August 29, 2007 - November 16, 2007
QUEST CAPITAL STRATEGIES, INC.
November 12, 2003 - October 27, 2005
WADDELL & REED
September 19, 2003 - October 27, 2005
WADDELL & REED
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
