Daniel A. Roberts
Chief Compliance Officer
Expertise: Compliance, Supervision
Email: droberts@roberts-ryan.com
Phone: 402-990-2768
Career
Daniel Roberts is the Chief Compliance Officer of Roberts & Ryan, Inc. Mr. Roberts’ experience focuses primarily on Compliance and Supervision for Broker Dealers and RIAs.
Mr. Roberts is the Founder and President of Roberts Compliance Services, a consultancy firm offering outside independent review of various functions of Broker Dealers and RIAs, including new business review, new account approval, exception report analysis, books and records review, training and continuing education, audit functions and additional operations, and compliance and supervisory functions.
Prior to founding Roberts Compliance Services, Mr. Roberts was a Consultant at Patten Training & Review, providing compliance and supervision services to clients including Municipal Advisors, RIAs, and Broker Dealers. At Patten Training & Review, Mr. Roberts acted in roles including CCO, CEO, and Registered Principal; provided training and continuing education; conducted independent audit and supervisory reviews; and updated WSPs and other policies and manuals for clients. Before that, he was Senior Principal at Park Avenue Securities, where he reviewed and approved the activities of Registered Representatives and Investment Advisor Representatives, including new business, new accounts, investment policy proposals, Books & Records, audit functions and training, and continuing education.
Mr. Roberts was also the Director of New Business Review at Nationwide Securities, where he led a team of registered principals performing new business review for mutual funds, annuities, life insurance, securities, options, and municipals. Prior to Nationwide Securities, Mr. Roberts was the Chief Compliance Officer at Warner Group.
Mr. Roberts holds SIE and FINRA Series 4,7, 24, 50, 53, 54, and 66 licenses.
Education and Service
Daniel Roberts is a graduate of Briarcliff University, where he received an MA in Business Management and Leadership, and a graduate of the University of Iowa, where he received a BA in Political Science.