Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Richards is a financial professional with over 30 years of experience in the financial services industry. Daniel is currently registered with Charles Schwab & CO., INC. and has previously held positions at CITIGROUP GLOBAL MARKETS INC., SALOMON BROTHERS INC. and LEHMAN BROTHERS INC. Daniel is a Certified Financial Planner and holds licenses for both securities and investment advisory services. Daniel provides financial planning services to individuals and families in New Jersey and Texas, as well as in several other states. Daniel's expertise and experience allow Daniel to provide comprehensive financial planning advice to help clients achieve their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NJ
04/25/2023 - Present
Charles Schwab & CO., Inc. (Jersey City NJ)
NY
07/31/1993 - 12/12/2018
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/28/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NY
08/13/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 5/6/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/5/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/18/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/17/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 6/8/2006
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/21/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 1/26/1993
Series 3 - National Commodity Futures Examination
BC
Issued 8/1/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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