Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Steinberg is a financial professional with over 16 years of experience in the financial services industry. Daniel is currently registered with Wells Fargo Clearing Services, LLC, and provides investment advice to individuals and institutions. Daniel holds Series 7, 7TO, 87, 63 and 66 securities licenses. Daniel also holds a Chartered Financial Analyst designation. Daniel's past experience includes roles at Umpqua Investments, Inc., BANC of America Securities LLC, and Van Der Moolen Specialists USA, LLC.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
10/30/2023 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
CA
06/27/2019 - 03/06/2020
UMPQUA INVESTMENTS, INC. (Irvine CA)
NY
01/01/2007 - 10/27/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
04/19/2006 - 06/23/2006
VAN DER MOOLEN SPECIALISTS USA, LLC (NEW YORK NY)
BOTH
Issued 10/24/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/29/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2023
Series 7TO - General Securities Representative Examination
BC
Issued 05/20/2019
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2007
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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