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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dan? Claim Your ProfileDan Gallagher is a financial advisor with UBS Financial Services Inc. with over 30 years of experience in the industry. Dan Gallagher is registered in multiple states as a broker and investment advisor and holds multiple FINRA and state licenses. Dan Gallagher's previous employers include Kidder, Peabody & Co. Incorporated and Shearson Lehman Hutton Inc. and PaineWebber Incorporated. Dan Gallagher specializes in portfolio management for individuals and businesses, financial planning, pension consulting and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
04/18/2011 - Present
UBS Financial Services Inc. (NEWPORT BEACH CA)
NY
04/10/1990 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
06/10/1987 - 04/23/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
10/31/1986 - 06/25/1987
PAINEWEBBER INCORPORATED
IA
Issued 02/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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