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RIA / WealthAdvisorCertified Financial Planner14 years in industry

DANIEL GLENN NEWMAN

Advisor at MARINER

SAN JOSE, CA

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Search this name across graphsid dfx:ria:e5b5eec7-9369-0d60-e8e6-1cd73b374dbf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 24, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 23, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 23, 2011
First registration: Nov 24, 2011
Dual registered: no
Other names: Dan Newman
IAPD individual key: 5977648

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Dec 19, 2022	n/a	yes	SAN JOSE, CA	Current employment
HAYES FINANCIAL, INC.	Former SEC adviser	Sep 6, 2017	Feb 7, 2023	no	SAN JOSE, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 4, 2016	Oct 2, 2017	no	SAN JOSE, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 24, 2014	Oct 12, 2016	no	Campbell, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 19, 2012	Jan 17, 2014	no	ARLINGTON, VA	Previous registration
MORGAN STANLEY	Wirehouse	Nov 24, 2011	Jul 13, 2012	no	SAN JOSE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HAYES FINANCIAL, INC.	Mariner	Feb 7, 2023	Dec 19, 2022	-50	Firm change after gap	RIA to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	HAYES FINANCIAL, INC.	Oct 2, 2017	Sep 6, 2017	-26	Firm change	Other
CHARLES SCHWAB & CO., INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 12, 2016	Oct 4, 2016	-8	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Jan 17, 2014	Jan 24, 2014	7	Firm change	Other
MORGAN STANLEY	E*TRADE CAPITAL MANAGEMENT, LLC	Jul 13, 2012	Jun 19, 2012	-24	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
288733:140195:CA:2023-02-07	Feb 7, 2023	Dec 19, 2022	SAN JOSE, CA	Firm change after gap
149018:288733:CA:2017-10-02	Oct 2, 2017	Sep 6, 2017	SAN JOSE, CA	Firm change

Relationships

Registered with (6)

→ MARINERRegistered adviserregistration: current employment
Dec 19, 2022 to presentfactForm ADV
→ HAYES FINANCIAL, INC.Registered adviserregistration: previous registration
Sep 6, 2017 to Feb 7, 2023factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Oct 4, 2016 to Oct 2, 2017factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 24, 2014 to Oct 12, 2016factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 19, 2012 to Jan 17, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 24, 2011 to Jul 13, 2012factForm ADV

Dated events

Occurred
Feb 7, 2023
Advisor changed firm
Daniel Glenn Newman left Hayes Financial, Inc. for Mariner (registered 2022-12-19)
Form ADVobserved 4 days ago