Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Brooks has been in the financial services industry since 1998. Daniel currently works for Charles Schwab & CO., Inc. Daniel has previously worked for TD AMERITRADE, INC., METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, COMPUTERSHARE SECURITIES CORPORATION and CONSECO FINANCIAL SERVICES, INC. Daniel holds a Series 63, Series 65, and Series 66 license. Daniel holds a Series 7, Series 24, and Series 55 license as well. Daniel is currently registered with the states of California, Colorado, Florida, Illinois, Kentucky, Maryland, Massachusetts, Montana, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas and Virginia. Daniel is also registered with FINRA. Daniel has experience with both Individual and Institutional clients.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
PA
01/04/2019 - Present
Charles Schwab & CO., Inc. (Wayne PA)
PA
09/17/2004 - 03/12/2007
TD AMERITRADE, INC. (KING OF PRUSSIA PA)
MA
02/05/2004 - 09/20/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
02/05/2004 - 09/20/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IL
08/24/2001 - 01/29/2004
COMPUTERSHARE SECURITIES CORPORATION (CHICAGO IL)
PA
12/22/1998 - 07/06/2001
SUMMIT FINANCIAL SERVICES GROUP, INC. (BETHLEHEM PA)
IN
08/24/1998 - 11/30/1998
CONSECO FINANCIAL SERVICES, INC. (CARMEL IN)
BOTH
Issued 02/15/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/16/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/07/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/19/1999
Series 7 - General Securities Representative Examination
BC
Issued 08/21/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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