Unclaimed Profile

Duane Rudolph Roberts

DANA INVESTMENT ADVISORS INC·WAUKESHA, Wisconsin

Series 65Clean record23 years registeredDANA INVESTMENT ADVISORS INC

20700 SWENSON DRIVE, SUITE 400, WAUKESHA, WI 53186-0904CRD# 4346543Firm CRD# 105879

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Duane Rudolph Roberts · WAUKESHA, WI

Registration

CRD #4346543 · DANA INVESTMENT ADVISORS INC · 23 years registered

Brand Profile

Not yet started

Career History

DANA INVESTMENT ADVISORS INC

Nov 2009 – present

CIMARRON ASSET MANAGEMENT, LLC

Jun 2006 – Jun 2009

GRAPEVINE, TX

DANA INVESTMENT ADVISORS INC

Oct 2002 – May 2006

GRAPEVINE, TX

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · October 3, 2002

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DANA INVESTMENT ADVISORS INC

CRD 105879 · SEC 801-14828

AUM

$4.5B

Regulatory assets under management

Employees

3,327 client accounts

Services offered by DANA INVESTMENT ADVISORS INC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at DANA INVESTMENT ADVISORS INC →

Introduction

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Frequently Asked Questions

What services does Duane Rudolph Roberts offer?

Duane Rudolph Roberts specializes in Investment Management, Wealth Management. Contact their office in WAUKESHA, Wisconsin for a consultation.

What are Duane Rudolph Roberts's credentials?

Duane Rudolph Roberts is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Duane Rudolph Roberts located?

Duane Rudolph Roberts is based in WAUKESHA, Wisconsin, working with DANA INVESTMENT ADVISORS INC. Their office serves clients in the WAUKESHA metropolitan area and surrounding communities.

How does Duane Rudolph Roberts charge for services?

Duane Rudolph Roberts's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DANA INVESTMENT ADVISORS INC?

DANA INVESTMENT ADVISORS INC has approximately 61 employees and manages $4.5B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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