Daniel E. Lloyd-roberts
Professional summary
Daniel Evan Lloyd-roberts, CFP®, who also goes by Daniel Lloyd-roberts, is a registered financial advisor currently at STOKER OSTLER, A PART OF BMO FINANCIAL GROUP located in Scottsdale, Arizona.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Daniel has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Evan Lloyd-roberts's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2020
Experience
May 12, 2022 - Present
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
Office #1: 4900 N. Scottsdale Road Suite 2600, Scottsdale, AZ 85251January 5, 2019 - April 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2018 - April 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
CRD#: 111320 / SEC#: 801-54265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/12/2022)
Exams
Series 7TO
Date: 1/4/2019
General Securities Representative ExaminationCurrent Firm
STOKER OSTLER, A PART OF BMO FINANCIAL GROUP
CRD#: 111320 / SEC#: 801-54265
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,732 |
| AUM (Assets Under Management) | $ 3,100,176,318 |
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.
