Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel McCarthy is an active investment advisor and broker. Daniel has been in the financial services industry since 1984 and has passed the Series 63, Series 65, Series 7, Series 24 and SIE exams. Daniel is currently registered with Cetera Investment Advisers LLC. Daniel has worked at a number of firms including G. R. Phelps & Co., Inc., Tower Square Securities, Inc., Travelers Equities Sales, Inc., MML Investors Services, Inc., MassMutual Life Insurnace Company, Cetera Advisor Networks LLC and C.M. Smith Financial, Inc. Daniel provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and portfolio management for individuals. Daniel is also a partner at CM Smith Agency, Inc. and a financial advisor at CM Smith Financial - an Alera Group Company.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CT
06/29/2023 - Present
Cetera Investment Advisers LLC (HARTFORD CT)
NA
01/14/1988 - 03/01/1996
G. R. PHELPS & CO., INC.
CA
04/06/1994 - 12/06/1995
TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)
NA
11/23/1984 - 12/11/1987
TRAVELERS EQUITIES SALES, INC.
IA
Issued 12/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/4/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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