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DS

Daniel Sauceda

Some features on this profile are disabled
CRD#: 7218776
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Sauceda was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2021. Daniel had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 24, 2024 - January 6, 2026

FISHER INVESTMENTS

RIA
CRD#: 107342
PLANO, TX
Past

December 5, 2022 - May 10, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN ANTONIO, TX
Past

December 5, 2022 - May 10, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN ANTONIO, TX
Past

September 2, 2022 - November 7, 2022

MORGAN STANLEY

RIA
CRD#: 149777
San Antonio, TX
Past

December 11, 2021 - November 7, 2022

MORGAN STANLEY

BD
CRD#: 149777
San Antonio, TX
Past

April 13, 2021 - November 15, 2021

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
BLOOMINGTON, IL

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".
FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)

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

State Security Law Exam
RR
IAR
Series 66
Date: 9/2/2022
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/4/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/2/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/13/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/23/2021
Securities Industry Essentials Examination

Current Firm

FISHER INVESTMENTS
FISHER INVESTMENTS
FISHER ASSET MANAGEMENT, LLC | FISHER INVESTMENTS,INC. | FISHER INVESTMENTS

CRD#: 107342 / SEC#: 801-29362

RIA
Registered Investment Advisory firm - (3/26/1987 Approved)
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Contact information

Main Address
6500 International Pkwy Ste 2050, Plano, TX 75093-8222
Mailing Address
Phone number
(800) 851-8845
Established
Firm type
Fiscal year end
# of Employees
4,369

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

INSTITUTIONAL (2/11/2026)
CANADA PRIVATE CLIENT (2/11/2026)
UNITED KINGDOM PRIVATE CLIENT (2/11/2026)
PRIVATE CLIENT (2/11/2026)

Regulatory assets under management

Total Number of Accounts422,516
AUM (Assets Under Management)$ 386,669,724,038

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.

Company Information

FISHER INVESTMENTS

FISHER INVESTMENTS

CRD#: 107342

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