Daniel J. Wendol

DOLPHIN FINANCIAL GROUP

Clearwater, FL 33761

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CRD#: 4893262

Professional summary

Daniel Joseph Wendol, CFP® is a registered financial advisor currently at DOLPHIN FINANCIAL GROUP located in Clearwater, Florida.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Daniel has worked at 3 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

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.

Daniel Wendol owns a financial services affiliated business known as Dolphin Insurance Inc. He serves as the sole owner and as a licensed insurance agent for this business. DOLPHIN INSURANCE, INC. (FORMERLYLODNEW, INC); PRESIDENT/INSURANCE AGENT; INVESTMENT RELATED; CLEARWATER, FL; STARTED 04/2012.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Wendol's 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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

February 20, 2014 - Present

DOLPHIN FINANCIAL GROUP

Office #1: 2430 Estancia Blvd. Suite 206, Clearwater, FL 33761

RIA

CRD#: 170160

Clearwater, FL

Past

March 24, 2008 - November 4, 2008

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

January 10, 2005 - March 26, 2007

TRILLIUM BROKERAGE SERVICES, LLC

CRD#: 120064

NEW YORK, NY

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

Florida
(2/20/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/22/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/5/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 1/14/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/7/2005

General Securities Representative Examination

Current Firm

DOLPHIN FINANCIAL GROUP

DOLPHIN FINANCIAL GROUP | TRS WEALTH MANAGEMENT, INC. | DOLPHIN WEALTH MANAGEMENT, INC.

CRD#: 170160 / SEC#:

Florida

Registered Investment Advisory firm - (2/20/2014 Approved)

New York

Registered Investment Advisory firm - (12/8/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2430 Estancia Blvd. Suite 206, Clearwater, FL 33761

Mailing Address

Phone number

(888) 508-5935

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 9,100,000

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.

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Daniel J. Wendol

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joseph Wendol's CRS (Customer Relationship Summary).

Certified licenses

Experience

DOLPHIN FINANCIAL GROUP

FIS BROKERAGE & SECURITIES SERVICES LLC

TRILLIUM BROKERAGE SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/22/2013

Series 63

Date: 4/5/2008

Series 55

Date: 1/14/2005

Series 7

Date: 1/7/2005

Current Firm

DOLPHIN FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DOLPHIN FINANCIAL GROUP

TRUST BUT VERIFY

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