DS
Daniel R. Sherman
MINDWALLET INVESTMENT ADVISORY
LOS ALAMITOS, CA
Some features on this profile are disabled
CRD#: 5459456
DS
Professional summary
Daniel Robert Sherman, who also goes by Daniel R Sherman, is a registered financial advisor currently at MINDWALLET INVESTMENT ADVISORY located in Los Alamitos, California.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Daniel has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel R Sherman
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.
1) Dan's Tax Services 12100 Montecito Rd, Unit 128, Los Alamitos, CA 90720 start date 3/9/2025 approximately 20 hours a month is spent on these services during trading hours- Provides tax services as an Enrolled agent and tax preparer. While not directly investment-related, it can provide financial advice for tax purposes. This business is directly associated with MindWallet Investment Advisory. 3) RISING TIDE AT MARGARITE KIEFER EDUCATION CENTER (MKEC), 607 E 3RD ST, LONG BEACH, CA, start date 02/2023, AGENT, TAX SERVICES, NIR, 1 HR/MO, 0 HR/MO TRADING. Provides an annual community review of financials. No title. This service is unrelated to any other business, voluntary, and requires only five hours per year during trading hours. 4) MINDWALLET SENIOR HEALTHCARE SOLUTIONS, 12100 Montecito Rd Unit 128, Los Alamitos, CA, start date 04/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, NIR, 5 HR/MO, 5 HR/MO TRADING. Sells health insurance to seniors. The title is insurance agent. This service is directly related to MindWallet Investment Advisory and will provide insurance services for customers of the advisory. It can take 4-5 hours of time during trading hours per month, possibly more. 5) DANIEL SHERMAN INSURANCE, 12100 Montecito Rd Unit 128, Los Alamitos, CA Start date 02/15/2024, Title: Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO, 1 HR/MO TRADING. This business is directly related to MindWallet Investment Advisory and provides life insurance services for advisory customers.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Robert Sherman'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®
NoneExperience
Current
July 25, 2025 - Present
MINDWALLET INVESTMENT ADVISORY
RIA
CRD#: 335791
LOS ALAMITOS, CA
Past
September 19, 2022 - February 20, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
IRVINE, CA
Past
August 29, 2022 - February 20, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Irvine, CA
Past
May 6, 2021 - November 11, 2022
MINDWALLET INVESTMENT ADVISORY
RIA
CRD#: 310418
LONG BEACH, CA
Past
October 23, 2020 - June 10, 2021
SIDOXIA CAPITAL MANAGEMENT, LLC
RIA
CRD#: 145969
NEWPORT BEACH, CA
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
California(7/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
MI
MINDWALLET INVESTMENT ADVISORY
MINDWALLET INVESTMENT ADVISORY | SHERMAN, DANIEL ROBERT
CRD#: 335791 / SEC#:
California
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Contact information
Main Address
Los Alamitos, CA
Mailing Address
12100 Montecito Rd Unit 128, Los Alamitos, CA 90720
Phone number
(562) 645-6490
Established
Firm type
Fiscal year end
# of Employees
1
0
Red Flags
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