Daniel Ryan

SWBC INVESTMENT ADVISORY SERVICES LLC

Austin, TX 78746

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CRD#: 6846193

Professional summary

Daniel Ryan, who also goes by Daniel Ryan, Daniel T Ryan, Daniel Timothy Ryan, is a registered financial advisor currently at SWBC INVESTMENT ADVISORY SERVICES LLC located in Austin, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Daniel has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Ryan | Daniel T Ryan | Daniel Timothy Ryan

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) - RIA

Click below to view Daniel Ryan'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

March 19, 2021 - Present

SWBC INVESTMENT ADVISORY SERVICES LLC

Office #1: 900 South Capital Of Texas Ste 155, Austin, TX 78746

RIA

CRD#: 156155

Austin, TX

Past

November 6, 2019 - November 16, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

November 6, 2019 - November 16, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

June 25, 2019 - November 8, 2019

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

CHARLOTTE, NC

Past

June 25, 2019 - November 8, 2019

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

CHARLOTTE, NC

Past

January 25, 2018 - November 19, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

November 13, 2017 - November 19, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

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".

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

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

Texas
(3/19/2021)

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: 1/25/2018

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: 11/13/2017

General Securities Representative Examination

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

SWBC INVESTMENT ADVISORY SERVICES LLC | SWBC RETIREMENT PLAN SERVICES | SWBC INVESTMENT ADVISORY SERVICES, LLC

CRD#: 156155 / SEC#: 801-72669

RIA

Registered Investment Advisory firm - (9/1/2011 Approved)

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Contact information

Main Address

900 South Capital Of Texas Ste 155, Austin, TX 78746

Mailing Address

Phone number

(512) 807-2606

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

SWBC RETIREMENT PLAN SERVICES FORM ADV PART 2A (3/30/2025)

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 Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

SWBC INVESTMENT ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2018

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2017

Current Firm

SWBC INVESTMENT ADVISORY SERVICES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SWBC INVESTMENT ADVISORY SERVICES LLC

TRUST BUT VERIFY

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