Adam R. Daniels

WATERSTONE FINANCIAL ADVISORY LLC

Fort Myers, FL 33907

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CRD#: 7531986

Professional summary

Adam Richard Daniels, who also goes by Adam Daniels, is a registered financial advisor currently at WATERSTONE FINANCIAL ADVISORY LLC located in Fort Myers, Florida.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Adam has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Daniels

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.

1)05/17/2022 - Titan Financial - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2022 2) 07/28/2022 - GNC - General Nutrition Companies - Not Investment Related - 15880 Summerlin Rd Fort Myers, FL 33908 - Outside/W-2 Employment - Cashier/customer service - Start Date - 07/16/2022 - 20 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Richard Daniels'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 8, 2023 - Present

WATERSTONE FINANCIAL ADVISORY LLC

Office #1: 12597 New Brittany Blvd, Fort Myers, FL 33907

RIA

CRD#: 325012

Fort Myers, FL

Past

April 20, 2023 - May 18, 2023

J.W. COLE FINANCIAL, INC.

CRD#: 124583

FT MYERS, FL

Past

May 31, 2022 - April 20, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MYERS, FL

Past

May 20, 2022 - April 20, 2023

LPL FINANCIAL LLC

CRD#: 6413

FORT MYERS, FL

Past

April 23, 2022 - April 26, 2022

PARK AVENUE SECURITIES LLC

CRD#: 46173

FORT MYERS, FL

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".

WATERSTONE FINANCIAL ADVISORY LLC

CRD#: 325012 / SEC#: 801-127693

RIA

Registered Investment Advisory firm - (4/20/2023 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

Florida
(6/8/2023)

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: 5/26/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/10/2022

Securities Industry Essentials Examination

Current Firm

WATERSTONE FINANCIAL ADVISORY LLC

CRD#: 325012 / SEC#: 801-127693

RIA

Registered Investment Advisory firm - (4/20/2023 Approved)

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Contact information

Main Address

12597 New Brittany Blvd, Fort Myers, FL 33907

Mailing Address

Phone number

(239) 288-0977

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - WATERSTONE FINANCIAL ADVISORY LLC (4/21/2025)

Regulatory assets under management

Total Number of Accounts	901
AUM (Assets Under Management)	$ 225,643,976

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

Adam R. Daniels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Richard Daniels's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.W. COLE FINANCIAL, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PARK AVENUE SECURITIES LLC

Primary Firm SEC Registration

WATERSTONE FINANCIAL ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2022

Series 7TO

Date: 4/22/2022

SIE

Date: 3/10/2022

Current Firm

WATERSTONE FINANCIAL ADVISORY LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WATERSTONE FINANCIAL ADVISORY LLC

TRUST BUT VERIFY

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