Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel A. Figuly is a financial advisor with over 20 years of experience in the financial services industry. Daniel is a Certified Financial Planner® professional and is registered with Wells Fargo Clearing Services, LLC. He has previously been registered with JPMorgan Securities LLC, Wells Fargo Advisors, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Charles Schwab & Co., Inc., Advest, Inc., and Prudential Securities Incorporated. Daniel has a wide range of experience in providing financial advice to individuals, families, and businesses. He specializes in investment management, financial planning, and retirement planning. Daniel is committed to providing his clients with personalized financial advice that meets their unique needs and goals. He is a highly respected financial advisor with a strong track record of success.
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.
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.
Investment consulting services to institutional clients
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.
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2
CT
05/19/2024 - Present
Wells Fargo Clearing Services, LLC (NEW HAVEN CT)
CT
04/11/2016 - 06/04/2022
J.P. MORGAN SECURITIES LLC (STRATFORD CT)
CT
04/14/2015 - 04/04/2016
WELLS FARGO ADVISORS, LLC (MADISON CT)
CT
11/30/2011 - 02/26/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MADISON CT)
CT
04/07/2005 - 12/07/2011
CHARLES SCHWAB & CO., INC. (GREENWICH CT)
CT
10/04/1999 - 04/09/2001
ADVEST, INC. (HARTFORD CT)
NY
01/24/1996 - 10/18/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 04/20/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/07/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/07/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/07/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2012
Series 3 - National Commodity Futures Examination
BC
Issued 04/06/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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