DA
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Daniel Adams
38 Years of Experience
New London, CT
2 DisclosuresBroker
Daniel Adams is a registered investment advisor at Raymond James & Associates, INC., based in New London, CT, with 38 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
125 Eugene Oneill DR, Suite 100, New London, CT, 06320
Get directionsHistory
Regulatory History (2)
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Customer Dispute
September 2008Denied
Criminal
October 1981Final Disposition
Other Business Activities
Daniel serves on the Board of Directors for the Catholic Foundation of Diocese of Norwich, a non-profit organization. He dedicates minimal time to this role and receives no compensation.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2025 - Present · 1 yr 1 mo
Raymond James & Associates, INC.Broker
April 2025 - Present · 1 yr 1 mo
Previous Registrations
UBS Financial Services INC.Broker
September 2013 - May 2025 · 11 yrs 8 mos
UBS Financial Services INC.
September 2013 - May 2025 · 11 yrs 8 mos
Morgan StanleyBroker
June 2009 - September 2013 · 4 yrs 3 mos
Morgan Stanley
June 2009 - September 2013 · 4 yrs 3 mos
Morgan Stanley & CO. Incorporated
July 2008 - June 2009 · 11 mos
Morgan Stanley & CO. IncorporatedBroker
July 2008 - June 2009 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
June 1990 - July 2008 · 18 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1987 - July 2008 · 20 yrs 8 mos
State Registrations33 states
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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.