Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Roman is a financial advisor with Wells Fargo Clearing Services, LLC, working in the New York, NY office. Daniel has been in the financial industry for over two years. Prior to joining Wells Fargo, Daniel was registered with UBS Financial Services Inc. and E*TRADE SECURITIES LLC. Daniel holds Series 63, 65, 7TO and SIE licenses and is registered to provide investment advice in several states including Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Vermont, Virginia, Washington and Wisconsin. Daniel specializes in offering investment advice and financial planning for individuals and businesses.
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.
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2
NY
05/16/2023 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NJ
08/24/2021 - 05/15/2023
UBS FINANCIAL SERVICES INC. (PARAMUS NJ)
NJ
06/03/2021 - 08/24/2021
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
IA
Issued 12/18/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2021
Series 7TO - General Securities Representative Examination
BC
Issued 01/05/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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