Daniel Thomas Walker
Professional Summary
Daniel Thomas Walker is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Allen, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Daniel has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
5 years in the financial services industry
Current & Past Employments
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Current Firm
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC
Contact Information
Main Address
111 West Houston Street, San Antonio, TX 78205Mailing Address
Po Box 2538, San Antonio, TX 78299Phone Number
(210) 220-5000# of Employees
177SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,656AUM (Assets Under Management)
$3,671,190,351Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2025 | Cover Page | Report |
| 10/10/2024 | Cover Page | Report |
| 11/27/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
(4/4/2025)
(4/4/2025)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas Walker's CRS (Customer Relationship Summary).
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