Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Craig Umpleby is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in the industry since July 2015. Umpleby is a registered representative in Florida and Texas and holds Series 7, Series 63, Series 66 and SIE licenses. He is a specialist in asset allocation modeling, IPS, research reports and services. Umpleby has experience in portfolio management for individuals and businesses, pension consulting and educational seminars. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Umpleby worked at Fidelity Brokerage Services LLC and Bank of America, N.A.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
01/03/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Jacksonville FL)
FL
07/20/2015 - 12/06/2016
FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)
BOTH
Issued 12/30/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Daniel Umpleby is the right advisor for you? Invested Better is here to help.
