Inactive

Daniel Spencer Pereira

Hwa Financial Group

Ellicott City, MD

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Current Employers

Hwa Financial Group

3448 Ellicott Center Drive, Suite 101, Ellicott City, MD 21043 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2025-01-01
NH	RA	APPROVED	2023-11-28
TX	RA	APPROVED	2023-11-28
VA	RA	APPROVED	2023-11-28

MD RA
APPROVED

Since 2025-01-01
NH RA
APPROVED

Since 2023-11-28
TX RA
APPROVED

Since 2023-11-28
VA RA
APPROVED

Since 2023-11-28

Branch Locations

3448 Ellicott Center Drive, Suite 101, Ellicott City, MD 21043 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bethesda	MD	06/2015	02/2022
Bank Of America, N.A.	North Bethesda	MD	09/2015	02/2022
Wms Partners, Llc	Towson	MD	02/2022	04/2023
Royal Alliance Associates, Inc.	Tyson's Corner	VA	06/2023	08/2023
Seia Llc	Tyson's Corner	VA	06/2023	10/2023
Ses Inc.	Tyson's Corner	VA	08/2023	10/2023
Hwa Financial Group	Ellicott City	MD	11/2023	Present

06/2015 → 02/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bethesda, MD
09/2015 → 02/2022

Bank Of America, N.A.

North Bethesda, MD
02/2022 → 04/2023

Wms Partners, Llc

Towson, MD
06/2023 → 08/2023

Royal Alliance Associates, Inc.

Tyson's Corner, VA
06/2023 → 10/2023

Seia Llc

Tyson's Corner, VA
08/2023 → 10/2023

Ses Inc.

Tyson's Corner, VA
11/2023 → Present

Hwa Financial Group

Ellicott City, MD

Previous Registrations

2023-08-22 → 2023-11-27

Seia

Los Angeles, CA

Tyson's Corner, VA
2022-03-22 → 2023-04-24

Wms Partners, Llc

Towson, MD
2015-10-05 → 2022-02-18

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Bethesda, MD

Frederick, MD

New Haven, CT

Frederick, MD

Frederick, MD

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-02

S66 Uniform Combined State Law Examination

2015-10-02

Designations

View on SEC IAPD

Other Firms

FOUNDERS FINANCIAL SECURITIES LLC

LEE FINANCIAL ASSOCIATES, INC.

OSAIC WEALTH, INC.

BLUEPRINT WEALTH MANAGEMENT INC.

KESTRA ADVISORY SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

MARK ANDREW TIMMICK

JAMES JEFFREY LEE

BRIAN WILLIAM SMOOT

JORDAN SCHMUCHER WILSON

DAVID SCOTT ASHER

RAVINDRA NATH DIXIT

WILLIAM SPRUILL

Jade NICOLE Chang

Other Offices

FOUNDERS FINANCIAL SECURITIES LLC · ELLICOTT CITY, MD

LEE FINANCIAL ASSOCIATES, INC. · ELLICOTT CITY, MD

OSAIC WEALTH, INC. · ELLICOTT CITY, MD

BLUEPRINT WEALTH MANAGEMENT INC. · ELLICOTT CITY, MD

KESTRA ADVISORY SERVICES, LLC · ELLICOTT CITY, MD

AMERIPRISE FINANCIAL SERVICES, LLC · Ellicott City, MD

TRANSAMERICA FINANCIAL ADVISORS, LLC · ELLICOTT CITY, MD

STATE FARM INVESTMENT MANAGEMENT CORP. · Ellicott City, MD

More in Ellicott City, MD

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