Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Keating is a financial advisor with over 25 years of experience in the industry. Daniel currently works with UBS Financial Services Inc. in Hartford, Connecticut. Daniel is registered with the state of Connecticut as an investment advisor representative. Daniel has passed the Series 3, 6, 7, 24, 31, and 63 exams and holds the Chartered Financial Analyst designation. Daniel has previous experience with CITIGROUP GLOBAL MARKETS INC., FIS SECURITIES, INC., MDS SECURITIES INCORPORATED, 440 FINANCIAL DISTRIBUTORS, INC., ALLMERICA INVESTMENTS, INC. and G. R. PHELPS & CO., INC..
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
CT
04/24/2009 - Present
UBS Financial Services Inc. (HARTFORD CT)
CT
07/03/2008 - 05/14/2009
CITIGROUP GLOBAL MARKETS INC. (HARTFORD CT)
MA
01/14/1999 - 10/25/2002
FIS SECURITIES, INC. (BOSTON MA)
MA
01/02/1997 - 07/15/1997
FIS SECURITIES, INC. (BOSTON MA)
IN
01/02/1996 - 12/31/1996
MDS SECURITIES INCORPORATED (CARMEL IN)
ME
02/28/1994 - 12/31/1995
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
MA
02/08/1993 - 03/04/1994
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
NA
09/27/1989 - 01/26/1993
G. R. PHELPS & CO., INC.
BC
Issued 07/16/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/13/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 07/02/2008
Series 7 - General Securities Representative Examination
BC
Issued 09/26/1989
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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