Unclaimed
Derek Lee Daniels is an active investment advisor representative registered with Raymond James & Associates, Inc. Derek has been in the industry since April 16, 1991. Previously, Derek was registered with MORGAN KEEGAN & COMPANY, INC., BANC ONE SECURITIES CORPORATION, MARQUIS INVESTMENTS, L.L.C., PROEQUITIES, INC., and HIBERNIA INVESTMENT SECURITIES INC. Derek is licensed in 19 states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
LA
02/13/2013 - Present
Raymond James & Associates, Inc. (MONROE LA)
LA
07/16/2001 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MONROE LA)
IL
08/03/1998 - 07/20/2001
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NA
11/28/1995 - 08/19/1998
MARQUIS INVESTMENTS, L.L.C.
AL
08/05/1992 - 12/04/1995
PROEQUITIES, INC. (BIRMINGHAM AL)
LA
04/09/1991 - 07/27/1992
HIBERNIA INVESTMENT SECURITIES INC. (NEW ORLEANS LA)
IA
Issued 08/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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