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Ashaki S. Daniels

ALLIANCE-ONE INVESTMENTS
Tulsa, OK 74116
Some features on this profile are disabled
CRD#: 5238828
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Professional summary

Ashaki Serwaa Daniels is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.

Ashaki is registered as a RR (Registered Representative) and started their career in finance in 2007. Ashaki has worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashaki Serwaa Daniels'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®
None

Experience

Current

October 31, 2019 - Present

ALLIANCE-ONE INVESTMENTS, LLC

Office #1: 4000 N Mingo Rd, Tulsa, OK 74116
BD
CRD#: 286025
Tulsa, OK
Past

August 1, 2013 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
TAMPA, FL
Past

August 1, 2013 - October 31, 2019

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
Tampa, FL
Past

October 3, 2007 - June 30, 2016

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
TAMPA, FL

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/1/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/5/2009
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025Tulsa, OK 74116

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