Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Warren Staples is a financial advisor with Wells Fargo Clearing Services, LLC, with over 30 years of experience in the financial services industry. Daniel has been a registered representative with both the Broker-Dealer and Investment Advisor regulatory bodies for many years. In addition to being registered in Wisconsin, Daniel is also registered in numerous other states. While at Wells Fargo, Daniel has provided advisory services to various individuals, families, and organizations. Before working at Wells Fargo Clearing Services, LLC, Daniel was previously a registered representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney Inc. and Lehman Brothers Inc. Daniel’s areas of focus are Portfolio Management for Individuals, Portfolio Management for Businesses, Financial Planning, Pension Consulting, and Selection of Other Advisors.
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
WI
03/26/2013 - Present
Wells Fargo Clearing Services, LLC (MADISON WI)
WI
01/23/1996 - 03/26/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MADISON WI)
NY
07/31/1993 - 01/04/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/20/1983 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 05/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/13/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
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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