Daniel LongCRD Number: 1968926
Current Firm: Ubs Financial Services Inc.
Daniel Long (CRD# 1968926) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Glens Falls, NY and has over 27 years of experience in the finance industry.
Vahanian & Associates Financial Planning Inc.
Centerpoint Financial, Inc.
Cambridge Wealth Management, LLC
|Ubs Financial Services Inc.||Albany, NY||Feb 2016 - Current||< 1|
|Wells Fargo Advisors, LLC||Lakewood Ranch, FL||May 2015 - Feb 2016||< 1|
|Ubs Financial Services Inc.||Syracuse, NY||Jul 2010 - May 2015||4|
|Morgan Stanley Smith Barney||Smithtown, NY||Jun 2009 - Jul 2010||1|
|Morgan Stanley & Company, Incorporated||Smithtown, NY||Apr 2007 - Jun 2009||2|
|Morgan Stanley Dw Inc.||Smithtown, NY||Sep 2006 - Apr 2007||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Riverhead, NY||Sep 2004 - Sep 2006||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1989|
|S66||NASAA Uniform Combined State Law Examination||Apr 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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