Ryan Michael Daubert
Professional Summary
Ryan Michael Daubert, who also goes by Ryan Daubert, was a registered financial advisor. Ryan was a previously registered financial professional and started their career in finance 2013 - 2024. Ryan had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ryan Daubert
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
12 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL WEALTH MANAGEMENT | MASSMUTUAL PRIVATE WEALTH | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
Contact Information
Main Address
1295 State Street, Springfield, MA 01111-0001Mailing Address
1295 State Street, Springfield, MA 01111-0001Phone Number
(413) 226-0000Established
Massachusetts since 01/01/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
6,976SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | — |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| GIARDIELLO, GREGORY JOSEPH | DIRECTOR | 8256045 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| LORENZON, DIMITRI | DIRECTOR | 8357599 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory Assets Under Management
Total Number of Accounts
454,857AUM (Assets Under Management)
$115,638,239,231Disclosures
Regulatory Event
27Arbitration
1Bond
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 11/28/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL WEALTH MANAGEMENT | MASSMUTUAL PRIVATE WEALTH | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
State Registrations and Notice Filings
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
