Daniel Thomas
Daniel Thomas is a registered investment advisor at D.A. Davidson & CO., based in Newport Beach, CA, with 34 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 Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 70,118 clients with $42B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- Financial planning services — generally ranges from $1,500 to $15,000 or more depending on the complexity of the client's financial circumstances and local market considerations.
Location
680 Newport Center Drive, Suite 230, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (5)
Customer Dispute
April 2008Employment Separation After Allegations
October 2005Customer Dispute
January 2001Customer Dispute
July 2000Customer Dispute
February 1998Other Business Activities
Daniel is a partner/representative for Le Amis de Escoffier Society International, a non-profit organization. He spends minimal time attending annual induction dinners and promoting chefs and culinary arts.
Employment History
Current Registrations
D.A. Davidson & CO.Broker
D.A. Davidson & CO.
Previous Registrations
Crowell Weedon & CO.
Crowell Weedon & CO.Broker
Crowell, Weedon & CO.
Crowell, Weedon & CO.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Everen Securities, INC.Broker
State Registrations40 states
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
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