Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Maloney is a financial advisor with over 17 years of experience in the financial services industry. Daniel is currently registered with UBS Financial Services Inc., where they provide financial planning, portfolio management, and investment advisory services to individuals, families, and businesses. Daniel has held previous positions with Morgan Stanley, Wells Fargo Advisors LLC, Wells Fargo Clearing Services, LLC, and AXA Advisors, LLC. Daniel holds several securities licenses, including Series 7, 9, 10, 24, 63, 65 and 99TO, and is also a registered Investment Advisor in New Jersey. They are committed to helping clients achieve their financial goals and objectives.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
12/02/2020 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
07/07/2020 - 12/09/2020
MORGAN STANLEY (NEW YORK NY)
NJ
02/20/2018 - 07/06/2020
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
01/09/2015 - 02/14/2018
WELLS FARGO CLEARING SERVICES, LLC (PARAMUS NJ)
NJ
11/10/2010 - 12/18/2014
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
01/17/2008 - 11/05/2010
AXA ADVISORS, LLC (SECAUCUS NJ)
NJ
12/20/2006 - 09/20/2007
J.P. MORGAN SECURITIES INC. (MORRISTOWN NJ)
NE
02/09/2004 - 09/21/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IA
Issued 04/03/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/21/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/04/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/22/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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