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Derek Daniels

Raymond James & Associates, INC.
35 Years of Experience
Monroe, LA
1 DisclosureBroker
View SEC Summary
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Derek Daniels is a registered investment advisor at Raymond James & Associates, INC., based in Monroe, LA, with 35 years of industry experience. Derek is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

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

Location

1900 N 18th St, Ste 700, Monroe, LA, 71201

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History

Regulatory History (1)
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.
Customer Dispute
October 2006
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Derek owns one share of Zeta Pi Housing Corporation LLC, investing $500 annually for a fraction of ownership in a fraternity house. He spends no time on this personal investment.

Employment History
Current Registrations
Raymond James & Associates, INC.
February 2013 - Present · 13 yrs 8 mos
Raymond James & Associates, INC.Broker
February 2013 - Present · 13 yrs 8 mos
Previous Registrations
Morgan Keegan & Company, INC.
July 2001 - February 2013 · 11 yrs 7 mos
Morgan Keegan & Company, INC.Broker
July 2001 - February 2013 · 11 yrs 7 mos
Banc One Securities CorporationBroker
August 1998 - July 2001 · 2 yrs 11 mos
Marquis Investments, L.L.C.Broker
November 1995 - August 1998 · 2 yrs 9 mos
Proequities, INC.Broker
August 1992 - December 1995 · 3 yrs 4 mos
Hibernia Investment Securities INC.Broker
April 1991 - July 1992 · 1 yr 3 mos
State Registrations17 states
ALARAZCACOFLGAKYLAMOMSNCSDTXUTVAWA
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.
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