TrueAdvisor
TrueAdvisor
DW
DW

Daniel Wroble

Federated Global Investment Management CORP.
33 Years of Experience
Charlotte, NC
8 DisclosuresBroker
View SEC Summary
View SEC Summary

Daniel Wroble is a registered investment advisor at Federated Global Investment Management CORP., based in Charlotte, NC, with 33 years of industry experience. Daniel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 83 clients with $14B in assets under management.

Federated Global Investment Management CORP.
Compensation
Fee-Only (% of Portfolio)
Firm Size
206 advisors
Number of Clients
83 clients
Average Client Portfolio
$169.7M average
Assets Under Management
$14.1B

Fee Structure

Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M0.70%
$5.0M - $25.0M0.60%
$25.0M - $50.0M0.50%
$50.0M - $100.0M0.40%
$100M+0.35%

Schedule reflects Managed Accounts and Model Portfolio Management for Large Cap, All Cap Value, and Balanced accounts. International Equity managed accounts range from 0.40% to 0.75%. Separate account schedules start at 0.30% to 0.70% with higher tier thresholds. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Charlotte, NC

Get directions

History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
March 2005
Final
Regulatory
February 2003
Final
Regulatory
February 1999
Final
Regulatory
February 1999
Final
Regulatory
September 1998
Final
Regulatory
May 1998
Final
Regulatory
May 1998
Final
Regulatory
April 1998
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Federated Global Investment Management CORP.
January 2011 - Present · 15 yrs 9 mos
Mdt Advisers, a Division of Federated Mdta LLC
August 2010 - Present · 16 yrs 2 mos
Federated Securities CORP.
November 2009 - Present · 16 yrs 11 mos
Federated Investment Counseling
January 2008 - Present · 18 yrs 9 mos
Federated Securities CORP.
December 2007 - Present · 18 yrs 10 mos
Federated Securities CORP.Broker
December 2007 - Present · 18 yrs 10 mos
Previous Registrations
Evergreen Investment Services, INC.Broker
November 2002 - November 2007 · 5 yrs
Nationsbanc Investments, INC.Broker
April 1996 - June 1999 · 3 yrs 2 mos
Nationsbanc Investments, INC.Broker
January 1996 - June 1999 · 3 yrs 5 mos
Nationsbanc Investments, INC.Broker
December 1992 - November 1994 · 1 yr 11 mos
Kemper Financial Services, INC.Broker
January 1992 - December 1992 · 11 mos
John Nuveen & CO., IncorporatedBroker
December 1985 - October 1989 · 3 yrs 10 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Charlotte, NC →All financial advisors in North Carolina →