Daniel Harrington, financial advisor Rumford RI
81 score

Daniel Harrington

CRD Number: 3045087
Current Firm: Investors Capital Advisory

Daniel Harrington (CRD# 3045087) is an Investment Advisor Representative working at Investors Capital Advisory in Rumford, RI and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Investors Capital Corporation Lynnfield, MA Apr 2014 - Current 2
Sii Investments East Providence, RI Feb 2009 - Apr 2014 5
Next Financial Houston, TX Jul 2005 - Feb 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S65 NASAA Investment Advisors Law Examination May 1998
Disclosure Information

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:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Daniel F. Harrington
Phone Number: 800-949-1422
Registered State(s):
  • RI
By the Numbers
  • Total Assets Under Management
    1,571
    MILLIONS
  • Total Number of Accounts
    7,960
    ACCOUNTS
  • Average Account Value
    $197,401
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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