Role at Parallel Advisors
- Registration
- Investment adviser representative, through Parallel Advisors, LLC since 22 January 2024
- Officer or owner
- Ashley Daggs is not listed among Parallel Advisors’ executive officers or direct owners.
The firm
Form ADV filed 29 June 2026
Career on record
Ashley Daggs has been registered through Parallel Advisors since January 2024, and before that through Svb Wealth, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Clearing Services, Wells Fargo Investments, Wells Fargo Investments, Thomas Weisel Partners and Franklin/templeton Distributors.
- Parallel Advisors, LLCCurrent– present · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 140800
- Passed Series 10, Series 9 and Series 7TO · 2023
- Svb Wealth– · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 172832
- Passed SIE · 2018
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 7691
- Wells Fargo Clearing Services, LLC– · 6 yearsSan Francisco, CA · Adviser representative · Firm CRD 19616
- Wells Fargo Investments, LLC– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 10582
- Passed Series 66 · 2009
- Wells Fargo Investments, LLC– · 3 yearsSan Francisco, CA · Adviser representative and broker · Firm CRD 10582
- Thomas Weisel Partners LLC– · 8 yearsSan Francisco, CA · Adviser representative and broker · Firm CRD 46237
- Passed Series 7 · 1998
- Passed Series 6 and Series 63 · 1997
- Franklin/templeton Distributors, Inc.– · 2 yearsSan Mateo, CA · Adviser representative and broker · Firm CRD 332
Registrations and exams
Ashley Daggs is registered as an investment adviser representative in California and has passed 8 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 22 January 2024 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 9 November 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 November 1997 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 19 December 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 19 December 2023 |
| Series 7TO | General Securities Representative Examination | 19 December 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 10 August 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 3 October 1997 |
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Adviser record
- Full name
- Ashley Charles Daggs
- CRD
- 2592728
- Registered in
- California
- Office
- 150 Spear Street, Suite 1600, San Francisco, CA 94105
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Ashley Daggs work?
Ashley Daggs is an investment adviser representative registered through Parallel Advisors, LLC since January 2024, and is not listed among the firm’s executive officers or direct owners.
Is Ashley Daggs a financial advisor?
Yes. Ashley Daggs is registered as an investment adviser representative in California, through Parallel Advisors since January 2024, as of 14 October 2026.
How many years of experience does Ashley Daggs have?
Ashley Daggs has worked in the financial industry for 28 years as of 14 October 2026, counted from 1 December 1997, across 8 adviser firms.
What exams has Ashley Daggs passed?
Ashley Daggs has passed 8 licensing exams: the Series 6, Series 63, Series 7, Series 66, SIE, Series 10, Series 9 and Series 7TO. The earliest, the Series 6, was passed in October 1997.
Where did Ashley Daggs work before Parallel Advisors?
Before Parallel Advisors, Ashley Daggs was registered through Svb Wealth, August 2020 to February 2024; Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 2017 to August 2020; Wells Fargo Clearing Services, LLC, January 2011 to April 2017; Wells Fargo Investments, LLC, November 2009 to January 2011; Wells Fargo Investments, LLC, November 2007 to January 2011; Thomas Weisel Partners LLC, March 2000 to October 2007; Franklin/templeton Distributors, Inc., October 1997 to March 2000.
Where is Ashley Daggs based?
Ashley Daggs’ registered office is in San Francisco, CA.
Leadership at Parallel Advisors
Jerry RendicChief Executive Officer
Diane GabianelliChief Financial Officer
Sangeetha SrinivasanChief Compliance Officer- Daniel HaspelElected Manager
Jacob SchuttChief Wealth Officer