Daniel A. Roberts

Current Employers

Employment History

• 07/2005 → 06/2018
  Nationwide Securities, Llc
  Omaha, NE
• 06/2018 → 02/2019
  Guardian Life Insurance Co Of America
  New York, NY
• 06/2018 → 02/2019
  Park Avenue Securities, Llc
  New York, NY
• 02/2019 → 08/2021
  Patten Training & Review Llc
  The Woodlands, TX
• 04/2019 → Present
  Iur Securities Llc
  Stanton, IA
• 02/2019 → 10/2025
  Linden Thomas & Company Securities Llc
  Charlotte, NC
• 02/2019 → 12/2024
  Linden Thomas Advisory Services
  Stanton, IA
• 05/2019 → Present
  Rockefeller Financial Llc
  New York, NY
• 06/2019 → 06/2023
  Angel Island Capital Services, Llc
  Stanton, IA
• 10/2020 → 11/2023
  Carl Marks Securities, Llc
  New York, NY
• 10/2020 → 03/2021
  Robus Capital Partners Llc
  San Juan, PR
• 12/2020 → Present
  Vistia Capital, Llc
  Castle Rock, CO
• 06/2021 → 08/2022
  People's Securities, Inc.
  Stanton, IA
• 07/2021 → 08/2022
  People's United Advisors
  Stanton, Ia, IA
• 08/2021 → Present
  Roberts Compliance Services, Llc
  Parrish, FL
• 09/2021 → 08/2022
  Barnabas Capital, Llc
  Cornelius, NC
• 07/2021 → 12/2024
  Indexperts, Llc
  Charlotte, NC
• 01/2022 → 06/2023
  Monmouth Capital Management
  Holmdel, NJ
• 09/2022 → 01/2025
  Aspida Investor Services, Llc
  Durham, NC
• 06/2023 → 12/2023
  Miura Capital, Llc
  Miami, FL
• 01/2024 → Present
  Securitize Markets, Llc
  Miami, FL
• 01/2023 → Present
  Fiscal Wisdom Wealth Management Llc
  Canton, CT
• 01/2024 → Present
  Childress Capital Advisors Llc
  Houston, TX
• 03/2025 → Present
  Roberts & Ryan Llc
  New York, NY
• 08/2025 → 06/2026
  Favorpoint Capital
  Scottsdale, AZ
• 10/2025 → Present
  Kdk Private Wealth Management, Llc
  Houston, TX
• 06/2026 → Present
  Te Advisors, Llc
  Quincy, MA

Previous Registrations

• 2019-04-02 → 2024-12-12
  Linden Thomas Advisory Services, Llc
  Stanton, IA
  Parrish, FL
  Charlotte, NC
• 2021-07-07 → 2024-12-12
  Indexperts, Llc
  Charlotte, NC
  Parrish, FL
  Stanton, IA
• 2021-08-06 → 2022-08-25
  People'S United Advisors, Inc.
  Stanton, IA
  Wilmington, DE
• 2018-06-20 → 2019-02-20
  Park Avenue Securities Llc
  Stanton, IA
  New York, NY
• 2008-08-01 → 2018-06-12
  Nationwide Securities, Llc
  Columbus, OH
  Grandview Heights, OH
  Sacramento, CA
  Grandview Heights, OH
  Columbus, OH
  Omaha, NE
  Grandview Heights, OH
  Cumming, GA
  Omaha, NE
  Cumming, GA
  Cumming, GA
  Grandview Heights, OH
  Grandview Heights, OH
• 2006-01-06 → 2008-08-01
  1717 Capital Management Company
  Omaha, NE
  Omaha, NE

Other Businesses

1. Patten Training & Review, LLC; Investment-related; 12203 Mountain Island Trail, Parrish, FL 34219; Nature of business is compliance consultancy; Compliance Officer; 08/2021-Present; 20 hrs/mo during securities trading hrs; Duties include compliance, supervision, operations services provided as a consultant to various clients. 2.Bates Group; Investment-related; Parrish, FL ; Compliance consultancy; Consultant; Independent Contractor; 09/2023-Present; Approximately 10 hrs/mo; Approximately 10 hrs/mo during securities trading hrs; Serving as a Sub-contractor to the Bates Group through Roberts Compliance Services, LLC.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-01-04
• S66 Uniform Combined State Law Examination
  1998-12-31
• S63 Uniform Securities Agent State Law Examination
  1992-02-03

Other Names

• Daniel Anthony Roberts
• Daniel Roberts
• Dan Roberts