Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Mingo is a financial advisor with Wells Fargo Clearing Services, LLC. Daniel has been working in the financial services industry since 1995 and has held previous positions with Oppenheimer & Co. Inc., U.S. Bancorp Investments, Inc., Piper Jaffray & Co. and WM Financial Services, Inc. Daniel holds the Series 31, 7, and 63 licenses. He also holds the Series 65 license for investment advisor representatives. Daniel is a registered investment advisor in Washington, Arizona, California, Idaho, Montana, South Carolina, Tennessee, and Virginia.
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
WA
09/23/2014 - Present
Wells Fargo Clearing Services, LLC (REDMOND WA)
WA
06/23/2008 - 09/23/2014
OPPENHEIMER & CO. INC. (BELLEVUE WA)
WA
05/05/2006 - 06/24/2008
U.S. BANCORP INVESTMENTS, INC. (BELLEVUE WA)
WA
11/03/2000 - 04/28/2006
PIPER JAFFRAY & CO. (EVERETT WA)
CA
11/01/1995 - 11/06/2000
WM FINANCIAL SERVICES, INC. (IRVINE CA)
IA
Issued 04/06/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/31/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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