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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel E Maldonado mercado is a financial advisor who has been in the industry since 1994. Daniel is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2011. Prior to that, Daniel worked for Wells Fargo Advisors, LLC, UBS Financial Services Inc. and UBS Financial Services Incorporated of Puerto Rico. Daniel has passed several securities exams including Series 6, 7, 8, 9, 10, 63, 65 and 66 and holds a Series 66 registration in Georgia and Texas. Daniel specializes in providing investment advice to high-net-worth individuals, corporations and other businesses, pension and profit-sharing plans, and charitable organizations. Daniel has experience in providing financial planning, portfolio management and investment advice to a wide range of clients. Daniel has over 28 years of experience in the financial services industry.
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
GA
08/15/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALPHARETTA GA)
PR
04/09/2009 - 08/02/2011
WELLS FARGO ADVISORS, LLC (GUAYNABO PR)
PR
01/22/2003 - 04/22/2009
UBS FINANCIAL SERVICES INC. (GUAYNABO PR)
PR
01/22/2003 - 04/22/2009
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (GUAYNABO PR)
NY
12/24/1996 - 01/30/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
GA
12/07/1994 - 01/22/1997
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 04/30/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/17/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1997
Series 7 - General Securities Representative Examination
BC
Issued 12/03/1994
Series 6 - Investment Company Products/Variable Contracts 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
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