Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel O'Connor is an investment professional with over 10 years of experience in the financial services industry. Daniel is registered with Northwestern Mutual Investment Services, LLC and holds a Series 6, Series 7TO, Series 63, and Series 65 licenses. Daniel's primary focus is on investment research, referrals to other advisors, and providing financial guidance to a variety of clients.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
NY
03/30/2011 - Present
Northwestern Mutual Investment Services, LLC (Albany NY)
IA
Issued 04/01/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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