Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel John Legan is a financial advisor who has been in the industry since 1993. Daniel John Legan is currently registered with RBC Capital Markets, LLC and holds the Series 63, Series 7 and SIE licenses. Before joining RBC Capital Markets, LLC, Daniel John Legan was registered with Wells Fargo Clearing Services, LLC, UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Daniel John Legan provides financial planning, portfolio management and selection of other advisors services.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
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2
CA
05/09/2024 - Present
RBC Capital Markets, LLC (PALM DESERT CA)
CA
06/30/2015 - 05/15/2024
WELLS FARGO CLEARING SERVICES, LLC (PALM DESERT CA)
CA
05/12/2010 - 07/15/2015
UBS FINANCIAL SERVICES INC. (INDIAN WELLS CA)
CA
06/01/2009 - 05/18/2010
MORGAN STANLEY SMITH BARNEY (INDIAN WELLS CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM DESERT CA)
CA
09/22/2006 - 04/02/2007
MORGAN STANLEY DW INC. (PALM DESERT CA)
CA
11/19/2001 - 10/03/2006
UBS FINANCIAL SERVICES INC. (PALM DESERT CA)
NY
11/22/1999 - 11/27/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/27/1994 - 08/23/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
TX
07/26/1993 - 11/08/1994
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BC
Issued 02/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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