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DR

Daniel J. Roderigues

Some features on this profile are disabled
CRD#: 4936488
DR

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 Joseph Roderigues, AIF®, who also goes by Daniel J Roderigues, Daniel Roderigues, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel J Roderigues | Daniel Roderigues

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

February 22, 2023 - March 31, 2026

HAND SECURITIES, INC

BD
CRD#: 45198
HOUSTON, TX
Past

April 8, 2020 - December 31, 2020

DAVINCI CAPITAL MANAGEMENT, INC.

RIA
CRD#: 46897
CAMBRIDGE, MA
Past

March 5, 2020 - December 31, 2020

DAVINCI CAPITAL MANAGEMENT, INC.

BD
CRD#: 46897
CAMBRIDGE, MA
Past

February 7, 2020 - February 13, 2020

WISE WEALTH, LLC

RIA
CRD#: 143421
DUXBURG, MA
Past

June 13, 2018 - August 15, 2019

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
HALIFAX, MA
Past

June 1, 2018 - August 15, 2019

SANTANDER SECURITIES LLC

BD
CRD#: 41791
HALIFAX, MA
Past

December 11, 2017 - May 29, 2018

MORGAN STANLEY

RIA
CRD#: 149777
NORWELL, MA
Past

December 1, 2017 - May 29, 2018

MORGAN STANLEY

BD
CRD#: 149777
NORWELL, MA
Past

June 18, 2014 - March 23, 2017

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

August 22, 2013 - January 24, 2014

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
NEWTON, MA
Past

February 27, 2007 - August 20, 2013

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

September 1, 2006 - January 4, 2007

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

July 13, 2005 - June 29, 2006

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
BRAINTREE, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/11/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/9/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/12/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/16/2005
Investment Company Products/Variable Contracts Principal Examination

Current Firm

HS
HAND SECURITIES, INC
AMERICAN INDUSTRIES RETIREMENT SECURITIES CORPORATION | RETIREMENT SECURITIES, INC. | HAND SECURITIES, INC

CRD#: 45198 / SEC#: , 8-51001

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Contact information

Main Address
820 Gessner Ste 1250, Houston, TX 77024
Mailing Address
820 Gessner Ste 1250, Houston, TX 77024
Phone number
(713) 460-1000
Established
Texas since 02/02/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HAND BENEFITS AND TRUST COOWNER
HAND, STEPHEN SAWYERCHAIRMAN1950983
ZIMMERMAN, GREGG KEITHLEYCHIEF COMPLIANCE OFFICER4840878
ZIMMERMAN, GREGG KEITHLEYPRESIDENT4840878
ZIMMERMAN, GREGG KEITHLEYFINOP4840878

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.

Company Information

HAND SECURITIES, INC

CRD#: 45198

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