Daniel S. Pereira

HWA FINANCIAL GROUP

Ellicott City, MD 21043

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CRD#: 6265851

Professional summary

Daniel Spencer Pereira, CFP® is a registered financial advisor currently at HWA FINANCIAL GROUP located in Ellicott City, Maryland.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Daniel has worked at 6 firms and has passed the Series 66, SIE 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.

SEIA LLC POSITION: Client Service Associate NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 06/5/2023 ADDRESS: 1650 Tysons Boulevard, Suite 1575, Tysons, VA 22102, United States DESCRIPTION: RIA sales & service.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Spencer Pereira's CRS (Customer Relationship Summary).

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: 2017

Experience

Current

November 28, 2023 - Present

HWA FINANCIAL GROUP

Office #1: 3448 Ellicott Center Drive, Suite 101, Ellicott City, MD 21043

RIA

CRD#: 120745

Ellicott City, MD

Past

August 22, 2023 - November 27, 2023

SEIA

RIA

CRD#: 108163

Tyson's Corner, VA

Past

August 22, 2023 - November 27, 2023

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923

Tysons, VA

Past

June 26, 2023 - August 24, 2023

OSAIC WEALTH, INC.

CRD#: 23131

TYSONS CORNER, VA

Past

March 22, 2022 - April 24, 2023

WMS PARTNERS, LLC

RIA

CRD#: 109971

TOWSON, MD

Past

October 5, 2015 - February 18, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FREDERICK, MD

Past

August 24, 2015 - February 18, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FREDERICK, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HWA FINANCIAL GROUP

HUBER, WEAKLAND & ASSOCIATES, INC. | HWA FINANCIAL GROUP

CRD#: 120745 / SEC#: 801-113612

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Maryland

Registered Investment Advisory firm - (10/12/2018 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).

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

Maryland
(11/28/2023)

IAR

New Hampshire
(11/28/2023)

IAR

Texas
(11/28/2023)

IAR

Virginia
(11/28/2023)

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 66

Date: 10/2/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2015

General Securities Representative Examination

Current Firm

HWA FINANCIAL GROUP

HUBER, WEAKLAND & ASSOCIATES, INC. | HWA FINANCIAL GROUP

CRD#: 120745 / SEC#: 801-113612

RIA

Registered Investment Advisory firm - (7/20/2018 Approved)

Maryland

Registered Investment Advisory firm - (10/12/2018 Terminated)

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Contact information

Main Address

3448 Ellicott Center Drive, Suite 101, Ellicott City, MD 21043

Mailing Address

Phone number

(410) 696-4025

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 03 28 ADV PART 2A & 2B (3/28/2025)

Regulatory assets under management

Total Number of Accounts	527
AUM (Assets Under Management)	$ 255,895,939

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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Advisor Monitoring

Firm Stability Insights

Daniel S. Pereira

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Spencer Pereira's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEIA

SIGNATURE ESTATE SECURITIES, LLC

OSAIC WEALTH, INC.

WMS PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

HWA FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2015

SIE

Date: 10/1/2018

Series 7

Date: 8/24/2015

Current Firm

HWA FINANCIAL GROUP

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HWA FINANCIAL GROUP

TRUST BUT VERIFY

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