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 advisor with over 30 years of experience in the industry. Daniel is currently registered with Charles Schwab & CO., Inc. in New Jersey and Texas. Daniel is also a Certified Financial Planner. Daniel has previously held positions with Citigroup Global Markets Inc., Salomon Brothers Inc. and Lehman Brothers Inc. Daniel is active in the community and serves as the Treasurer for the Lake Valhalla Club in Montville, New Jersey.
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
1
2
CO
04/25/2023 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
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 05/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/18/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/17/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/08/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/26/1993
Series 3 - National Commodity Futures Examination
BC
Issued 08/01/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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