Daniel A. Roberts

Daniel “Dan” Roberts is a Bates Independent Industry Professional who began his professional career at AmeriTrade where he progressed in learning the various back-office functions of a clearing firm. He ultimately became a Senior Margins/Options Analyst. Dan next joined Securities America Advisors where he provided portfolio asset allocation analyses/proposals, performed due diligence review of product companies, and authored quarterly market commentary. His next opportunity was as CCO of Warner Group, a B/D and RIA where he managed FINRA and SEC audits and was responsible for all Compliance functions of the firm.

Dan then moved to Nationwide where he was a Field Supervisory Principal, conducting general supervision over various regions of the country, ultimately acting as Director of New Business where he managed a team reviewing and approving annuities and various other products. He then performed a similar function for Guardian, as a Senior Field Principal, approving new business and supervising a region of the country. Most recently, Dan joined Patten Training & Review as a Consultant, performing compliance and supervisory functions to clients.

This led to him launching his own firm to perform these services. He has significant experience with Form B/D, Form ADV, auditing (internal and SRO), Books & Records management, WSP and RIA Compliance Manual writing, advertising review, new business review, options and municipal supervision, and additional functions and requirements of B/D and RIA firms.

Dan’s professional activities and responsibilities include project management, team leadership, training, and numerous supervisory and compliance roles where he frequently serves as Registered Principal or CCO for his clients. At Roberts Compliance Services, LLC (“RCS”), Dan assists his clients as an independent consultant, providing the services that comprise the daily functions of broker/dealers and registered investment advisers.