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Detailed Report
DANIEL GLENN NEWMAN
Dan Newman
CRD#: 5977648
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Investment Adviser
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Previous Broker
MARINER WEALTHCRD#: 140195 99 ALMADEN BLVD
SUITE 730
SAN JOSE, CA 95113
Registration History
201220142016201820202022202420262 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2016 - 2017 (1 year)IAMARINER WEALTH (CRD# 140195)2022 - Present (2 years)IAHAYES FINANCIAL, INC. (CRD# 288733)2017 - 2023 (5 years)
License(s)

State Registrations

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California 12/19/2022
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Texas 12/19/2022
Current Registration(s)
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MARINER WEALTH (CRD#:140195)
99 ALMADEN BLVD SUITE 730, SAN JOSE, CA 95113
Registered with this firm since 12/19/2022
Previous Registration(s)
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 09/06/2017 - 02/07/2023 HAYES FINANCIAL, INC. (CRD#:288733) SAN JOSE, CA
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 10/04/2016 - 10/02/2017 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SAN JOSE, CA
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 10/03/2016 - 10/02/2017 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SAN JOSE, CA
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 01/24/2014 - 10/12/2016 CHARLES SCHWAB & CO., INC. (CRD#:5393) CAMPBELL, CA
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 01/23/2014 - 10/12/2016 CHARLES SCHWAB & CO., INC. (CRD#:5393) CAMPBELL, CA
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 06/19/2012 - 01/17/2014 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) ARLINGTON, VA
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 06/19/2012 - 01/17/2014 E*TRADE SECURITIES LLC (CRD#:29106) CUPERTINO, CA
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 11/24/2011 - 07/13/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) SAN JOSE, CA
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 10/28/2011 - 07/13/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) SAN JOSE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.