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Daniel A. Roberts

Investment Adviser Representative at FISCAL WISDOM WEALTH MANAGEMENT LLC

Stanton, IACRD #2208120Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
4 states
Exams Passed
16

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
ColoradoConnecticutFloridaIowa
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/4/2006
Series 66
Uniform Combined State Law Examination
Passed 12/31/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 2/3/1992
Series 14
Compliance Officer Examination
Passed 5/23/2025
Series 54
Municipal Advisor Principal Qualification Examination
Passed 10/14/2020
Series 53
Municipal Securities Principal Examination
Passed 5/31/2002
Series 4
Registered Options Principal Examination
Passed 8/28/1998
Series 24
General Securities Principal Examination
Passed 6/1/1998
Series 52TO
Municipal Securities Representative Examination
Passed 1/2/2023
Series 6TO
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
Series 99TO
Operations Professional Examination
Passed 1/2/2023
Series 50
Municipal Advisor Representative Qualification Exam
Passed 6/15/2020
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 7/16/2003
Series 7
General Securities Representative Examination
Passed 4/21/1998
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 2/3/1992

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

FISCAL WISDOM WEALTH MANAGEMENT LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

IUR SECURITIES LLCCurrent
7/8/2019 – Stanton, IA
VISTIA CAPITAL, LLCCurrent
6/15/2021 – LONE TREE, CO
ROCKEFELLER FINANCIAL LLCCurrent
5/17/2019 – NEW YORK, NY
ROBERTS & RYAN, INC.Current
4/1/2025 – NEW YORK, NY
SECURITIZE MARKETS, LLCCurrent
2/12/2024 – Fallbrook, CA
BARNABAS CAPITAL, LLC
9/28/2021 – 8/24/2022CHARLOTTE, NC
WARNER GROUP, INC.
9/13/2001 – 7/5/2005WATERLOO, IA
PEOPLE'S SECURITIES, INC.
8/6/2021 – 8/25/2022BRIDGEPORT, CT
1717 CAPITAL MANAGEMENT COMPANY
8/12/2005 – 8/1/2008OMAHA, NE
NATIONWIDE SECURITIES, LLC
8/1/2008 – 6/12/2018OMAHA, NE
ANGEL ISLAND CAPITAL SERVICES, LLC
6/6/2019 – 1/3/2023STANTON, IA
MIURA CAPITAL, LLC
6/22/2023 – 12/12/2023MIAMI, FL
PARK AVENUE SECURITIES LLC
6/18/2018 – 2/20/2019NEW YORK, NY
SECURITIES AMERICA, INC.
4/23/1998 – 9/4/2001LAVISTA, NE
PRUCO SECURITIES CORPORATION
2/4/1992 – 5/27/1992NEWARK, NJ
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
2/4/1992 – 5/27/1992NEWARK, NJ
LINDEN THOMAS AND COMPANY SECURITIES, LLC
2/27/2019 – 9/3/2025CHARLOTTE, NC
FAVORPOINT CAPITAL
12/4/2025 – 3/4/2026SCOTTSDALE, AZ
ROBUS CAPITAL PARTNERS LLC
10/8/2020 – 3/10/2021SAN JUAN, PR
CARL MARKS SECURITIES LLC
10/14/2020 – 11/16/2023Stanton, IA
MONMOUTH CAPITAL MANAGEMENT LLC
1/5/2022 – 6/13/2023POINT PLEASANT BEACH, NJ

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel A. Roberts has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.