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Daniel Christopher Mistretta

Franklin Distributors, LLC

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About Daniel Christopher Mistretta

Daniel Mistretta is a financial professional with over 20 years of experience in the industry. Daniel has held various roles with firms like ALPS Distributors, Inc., Jefferies LLC, and ADP Broker-Dealer, Inc., before joining Franklin Distributors, LLC in 2014. Daniel is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 7, 21, 25, and 66 licenses. Daniel is also registered to offer securities in multiple states.

Firm Information

Daniel Mistretta is currently registered with Franklin Distributors, LLC. Franklin Distributors, LLC is a Limited Liability Company formed in December 2000. It is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

369

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Daniel Mistretta’s Registration & Firm History

CT

07/23/2014 - Present

Franklin Distributors, LLC (STAMFORD CT)

CT

09/05/2013 - 07/16/2014

ALPS DISTRIBUTORS, INC. (Stamford CT)

CT

05/06/2010 - 08/27/2013

JEFFERIES LLC (STAMFORD CT)

NJ

06/01/2009 - 06/30/2010

ADP BROKER-DEALER, INC. (ROSELAND NJ)

NY

09/17/2008 - 02/10/2009

ALPS DISTRIBUTORS, INC. (RYE BROOK NY)

GA

08/29/2008 - 09/18/2008

PFS INVESTMENTS INC. (DULUTH GA)

CT

12/01/2005 - 09/06/2006

LEGG MASON INVESTOR SERVICES, LLC (STAMFORD CT)

NY

03/07/2005 - 12/01/2005

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

04/15/2002 - 03/17/2005

SIG INDEX SPECIALISTS, LLC (NEW YORK NY)

PA

09/09/2003 - 01/11/2005

SUSQUEHANNA INVESTMENT GROUP (BALA CYNWYD PA)

NY

02/04/2002 - 10/17/2002

SUSQUEHANNA BROKERAGE, L.P. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/03/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2002

Series 7 - General Securities Representative Examination

BC

Issued 08/20/2002

Series 21 - NYSE Front Line Specialist Clerk

BC

Issued 06/06/2002

Series 25 - NYSE Trading Assistant Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Daniel Christopher Mistretta.
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