Daniel M. Naylor
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 Michael Naylor, CFP® was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2003. Daniel had worked at 4 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
September 18, 2018 - September 30, 2019
FISHER INVESTMENTS
October 16, 2013 - March 24, 2015
UBS FINANCIAL SERVICES INC.
October 15, 2013 - March 24, 2015
UBS FINANCIAL SERVICES INC.
February 8, 2005 - October 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2005 - October 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 19, 2004 - August 27, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 2003 - August 27, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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.
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