Daniel Auble

SYMPHONY FINANCIAL SERVICES

AKRON, OH 44333

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CRD#: 7445583

Professional summary

Daniel Auble is a registered financial advisor currently at SYMPHONY FINANCIAL SERVICES, INC. located in Akron, Ohio and LPL FINANCIAL LLC located in Akron, Ohio.

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 3 firms and has passed the Series 66, Series 7TO and SIE exams.

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) - RIA

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

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

June 7, 2026 - Present

SYMPHONY FINANCIAL SERVICES, INC.

Office #1: 4100 Embassy Parkway Suite 100, Akron, OH 44333

RIA

CRD#: 125058

AKRON, OH

Current

June 4, 2026 - Present

LPL FINANCIAL LLC

Office #1: 4100 Embassy Parkway Ste 100, Akron, OH 44333-1783

RIA

CRD#: 6413

AKRON, OH

Past

December 8, 2021 - June 12, 2026

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

BROOKLYN, OH

Past

October 11, 2021 - June 12, 2026

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BROOKLYN, OH

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".

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Ohio
(6/4/2026)

IAR

Ohio
(6/7/2026)

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

State Security Law Exam

IAR

Series 66

Date: 12/7/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/11/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/8/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

CRD#: 125058 / SEC#: 801-63300

RIA

Registered Investment Advisory firm - (6/24/2004 Approved)

Ohio

Registered Investment Advisory firm - (3/17/2010 Terminated)

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Contact information

Main Address

4100 Embassy Parkway Suite 100, Akron, OH 44333

Mailing Address

Phone number

(330) 434-2000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A: FIRM BROCHURE (2/25/2026)

Regulatory assets under management

Total Number of Accounts	1,312
AUM (Assets Under Management)	$ 428,700,951

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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Daniel Auble

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SYMPHONY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

Primary Firm SEC Registration

SYMPHONY FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/7/2021

Series 7TO

Date: 10/11/2021

SIE

Date: 2/8/2021

FINRA

Current Firm

SYMPHONY FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SYMPHONY FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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