Daniel A. Flude
MINISTRY PARTNERS SECURITIES | Vice President of Finance & Controller, FINOP
Brea, CA 92821
Some features on this profile are disabled
CRD#: 5813596
Professional summary
Daniel Allan Flude is a registered financial professional currently at MINISTRY PARTNERS SECURITIES, LLC located in Brea, California.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2011. Daniel has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.
Biography
Mr. Flude has served as the Vice President of Finance since January 2022. He has worked at Ministry Partners for over 13 years in the Finance and Accounting Department. Mr. Flude served as the Company’s Controller prior to his promotion to his current role. He also serves as the Financial Operations Principal for Ministry Partners Securities. His duties with the Company include maintaining the Company’s financial statements and preparing the Company’s public filings. Prior to joining the Company, Mr. Flude served as an auditor for McGladrey and Pullen, LLP, where he worked mainly with banks and finance companies. Mr. Flude earned his Bachelor of Science in Accounting from the University of Oregon in 2004. He maintains an active license as a Certified Public Accountant. He also holds Series 28 and 99 securities licenses.
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Allan Flude'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
August 27, 2018 - Present
MINISTRY PARTNERS SECURITIES, LLC
Office #1: One Pointe Dr, Suite 205, Brea, CA 92821RIA
BD
CRD#: 154349
Brea, CA
Past
March 2, 2011 - July 11, 2017
MINISTRY PARTNERS SECURITIES, LLC
BD
CRD#: 154349
BREA, CA
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 10/12/2010
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
MP
MINISTRY PARTNERS SECURITIES, LLC
LYON WEALTH ADVISORY, LLC | MINISTRY PARTNERS SECURITIES, LLC
CRD#: 154349 / SEC#: , 8-68628
California
Registered Investment Advisory firm - SEC (7/10/2013 Approved)Idaho
Registered Investment Advisory firm - SEC (12/12/2022 Approved)Illinois
Registered Investment Advisory firm - SEC (3/20/2020 Approved)Oregon
Registered Investment Advisory firm - SEC (3/29/2018 Approved)Tennessee
Registered Investment Advisory firm - SEC (2/18/2025 Approved)Texas
Registered Investment Advisory firm - SEC (5/15/2015 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Pointe Dr Suite 205, Brea, CA 92821
Mailing Address
340 North Westlake Blvd Suite 160, Westlake Village, CA 91362
Phone number
(714) 671-5720
Established
Delaware since 04/27/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6
FINRA licenses (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 115 |
| AUM (Assets Under Management) | $ 15,166,934 |
Disclosures
| Regulatory Event | 1 |
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.
