Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Flores is a financial advisor who has been in the industry since June 18, 2013. Daniel is currently registered with Wells Fargo Clearing Services, LLC and has been with them since April 21, 2020. Prior to this, Daniel worked at J.P. Morgan Securities LLC, Northwestern Mutual Investment Services, LLC, Cetera Advisor Networks LLC and Canterbury Consulting Incorporated. Daniel is a licensed broker-dealer and investment advisor representative. Daniel has passed the Series 63, 65, 7, 9, 10 and SIE exams. Daniel's specialties include investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisers, portfolio management for businesses and individuals.
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.
1
2
MO
04/21/2020 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
CA
12/15/2017 - 04/09/2020
J.P. MORGAN SECURITIES LLC (BEVERLY HILLS CA)
CA
11/28/2016 - 11/30/2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
CA
08/16/2016 - 10/05/2016
CETERA ADVISOR NETWORKS LLC (LOS ANGELES CA)
CA
04/10/2013 - 06/08/2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
CA
10/03/2012 - 12/17/2012
CANTERBURY CONSULTING INCORPORATED (NEWPORT BEACH CA)
IA
Issued 09/23/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/12/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2012
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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