Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Patrick Gaertner is an active investment advisor representative at UBS Financial Services Inc. with over 27 years of experience in the financial services industry. Daniel has a wide range of experience in the industry and holds the Series 7, 31, and 63 licenses, along with the SIE and Series 65 licenses. Daniel is registered as an investment advisor representative in multiple states, including Illinois, Ohio, and Texas. In addition to his work with UBS, Daniel also has a significant role with the Retirement Advisor Council, where he focuses on best practices and trends within the 401(k) industry.
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
OH
08/01/2013 - Present
UBS Financial Services Inc. (WESTLAKE OH)
MO
07/01/2003 - 05/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/24/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/02/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1995
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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