Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Jonathan Gray is an investment advisor representative at UBS Financial Services Inc. with over 17 years of experience in the financial services industry. Daniel has a wide range of experience and has held previous positions at Deutsche Bank Securities Inc. and BANC OF AMERICA INVESTMENT SERVICES, INC. Daniel holds the Series 7 and Series 66 licenses and the SIE exam. Daniel is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Daniel is also registered with the following states: Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin, and Wyoming. Daniel is a member of the GEN NEXT regional executive committee and focuses on strategic planning, membership, and event coordinating.
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
CA
05/10/2022 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
05/03/2006 - 10/05/2021
DEUTSCHE BANK SECURITIES INC. (Los Angeles CA)
CA
11/26/2004 - 04/21/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
BOTH
Issued 02/09/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/2004
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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