Verified
Daniel Christopher Horgan is a financial advisor with Raymond James & Associates, Inc., based in Newport Beach, CA. Daniel Horgan is a registered representative with the state of California since 2013 and in Texas since 2018, holding both Series 7 and Series 65 licenses. Daniel Horgan has been working in the industry since 1987. Previous to Raymond James & Associates, Inc. Daniel Horgan worked for RBC DAIN RAUSCHER INC. in New York, NY, SUTRO & CO. INCORPORATED in San Francisco, CA, EVEREN SECURITIES, INC. in St. Louis, MO, PRUDENTIAL SECURITIES INCORPORATED in New York, NY, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED in New York, NY, FITZGERALD, DEARMAN & ROBERTS, INC. and THE STUART-JAMES COMPANY, INC.
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.
Please see note in schedule d - miscellaneous
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
CA
11/27/2018 - Present
Raymond James & Associates, Inc. (NEWPORT BEACH CA)
NY
03/09/2002 - 03/10/2006
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
10/08/1996 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
MO
08/12/1994 - 10/04/1996
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NY
01/10/1992 - 08/30/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/22/1988 - 01/20/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/28/1988 - 01/12/1990
FITZGERALD, DEARMAN & ROBERTS, INC.
NA
03/25/1987 - 04/05/1988
THE STUART-JAMES COMPANY, INC.
IA
Issued 06/08/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Daniel Horgan is the right advisor for you? Invested Better is here to help.
