Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Sperow is a financial advisor with over 25 years of experience in the industry. Daniel has a strong background in both investment advisory and brokerage services. Daniel is registered as a Registered Representative and Investment Advisor Representative. Daniel is currently employed at Wells Fargo Clearing Services, LLC. Daniel has previously worked at First Union Brokerage Services, Inc. and PaineWebber Incorporated. Daniel is a CERTIFIED FINANCIAL PLANNER™ professional. Daniel is also a Registered Principal and holds Series 7, 9, 10, 63, 65, and 66 securities licenses.
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
NC
08/30/2019 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
10/21/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NJ
10/02/1996 - 10/07/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 07/30/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/13/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/29/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/1996
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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