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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Riordan iii is a financial advisor with UBS Financial Services Inc. in FLORHAM PARK, NJ. Daniel has been working in the financial services industry since November 30, 2003. Daniel is registered with the Securities and Exchange Commission as an investment advisor representative. Daniel has experience with a variety of clients, including individuals, corporations, and institutions. Daniel's specializations include investment management, financial planning, and retirement planning. Daniel is committed to providing personalized financial advice to help clients reach 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.
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
NJ
04/27/2012 - Present
UBS Financial Services Inc. (FLORHAM PARK NJ)
NJ
07/24/2006 - 04/30/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHESTER NJ)
GA
01/01/2006 - 05/31/2006
RAIKE FINANCIAL GROUP INC. (WOODSTOCK GA)
GA
04/16/2003 - 07/08/2005
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 08/24/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/23/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2006
Series 7 - General Securities Representative Examination
BC
Issued 04/15/2003
Series 6 - Investment Company Products/Variable Contracts 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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