Daniel Spalding

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About Daniel Spalding

I specialize in serving the wealth management needs of small business owners, executives, professionals, retirees and their families. My areas of expertise include personal wealth management, retirement plans and cash management strategies.

To comprehensively serve the diverse needs of my clients, I hold the Series 7, 63, and 65 registrations though LPL Financial and a Florida Life & Variable Annuity license. I earned my bachelor's degree from Stockton University and MBA from Rutgers University.

Raised in New Jersey, I worked for my family's masonry company from a young age and restored classic automobiles while earning my BS. With 23 years in the financial services industry, I worked at PGIM Investments prior to joining Focus Wealth Strategies.

I reside in St Petersburg FL with my two children, Hadeon and Mikaela, where I am a member of the St Petersburg Yacht Club. When spare time presents itself, you could find me at a Tampa Bay Lightning game, boating, spearfishing, snowboarding, running or road cycling.

Professional Designations and Registrations:
Series 7 General Securities Registration through LPL Financial
Series 63 Uniform Securities Agent through LPL Financial
Series 65 Uniform Investment Advisor Law Exam through LPL Financial
214 Resident Life Including Variable Annuity license
Certified Exit Planning Advisor (CEPA®)
Accredited Investment Fiduciary (AIF®)

Affiliations:
Member: St Petersburg Yacht Club
Member: Alpha Phi Delta Fraternity
Member: Squires Club of St Petersburg
Supporter: Boat Kids (special needs family support)

See Disclosures

General Information

Firm Start Year

1925

No. of Employees

CRD#

5954349

Firm CRD#

6413

States Licensed in

FL, NJ

Years of Experience in Financial Services

Number of Years with Current Firm

Work with the following types of clients

Individual Investors, Non-Profit Organizations, Businesses

Advisory Services Provided

Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Money Management

Compliance

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

AIF^®, CEPA^®

Securities Licenses

Series 7, Series 63, Series 65

Insurance and Annuity Licenses

Life, Annuity

Firm Information

Assets Managed by Firm

$259,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$250,000

Compensation Methods

Based on Assets, Flat Fee, Commissions

Fee % Based on Assets

Hourly Rate

$300

Minimum Fee Charged for Managed Accounts

$2,500

Minimum Fee Charged for Hourly Planning Accounts

$900

Education

B.S. - Finance

Stockton University
9/20/1993 -05/01/2000

MBA - Economics

Rutgers University
9/20/2001 -05/01/2004

Disclosures

PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

LPL ADV 2A

https://www.lpl.com/content/dam/edam/format/disclosure/a58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

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Paladin Research Report For:

Focus Wealth Strategies, LLC