Daniel R. Guerette

FORTUNE FINANCIAL SERVICES

Portland, ME

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CRD#: 1151080

Professional summary

Daniel Richard Guerette, who also goes by Dan Guerette, Daniel R Guerette, is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Portland, Maine.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1983. Daniel has worked at 5 firms and has passed the Series 63, SIE and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Guerette | Daniel R Guerette

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Richard Guerette's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 13, 2020 - Present

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Portland, ME

Past

February 9, 1994 - March 23, 2020

OSAIC WEALTH, INC.

CRD#: 23131

BANGOR, ME

Past

October 15, 1993 - December 18, 2000

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

January 28, 1993 - February 15, 1994

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

June 19, 1983 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(3/13/2020)

Maine
(5/9/2025)

Maryland
(3/1/2023)

Massachusetts
(3/1/2023)

Nevada
(1/20/2022)

North Carolina
(1/2/2025)

Virginia
(9/12/2024)

Exams

State Security Law Exam

Series 63

Date: 4/6/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 2

Date: 12/3/1977

Non-Member General Securities Examination

SRO Registrations

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

3582 Brodhead Road Suite 202, Monaca, PA 15061

Mailing Address

P.o. Box 238, Monaca, PA 15061

Phone number

(724) 846-2488

Established

Pennsylvania since 10/21/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DANIELS, BLAKE WILLIAM	CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO	1285106
DANIELS, BRIAN LEE	OWNER	1213561
BENTLEY, GREGORY JOHN	PRESIDENT, CHIEF EXECUTIVE OFFICER	705379
PINTARIC, WILLIAM RICHARD JR	CHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEE	CHIEF OPERATIONS OFFICER, FINOP, PFO, POO	4794021

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel R. Guerette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Richard Guerette's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

VOYA FINANCIAL PARTNERS, LLC

CARILLON INVESTMENTS, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/2018

SIE

Date: 10/1/2018

Series 2

Date: 12/3/1977

FINRA

Current Firm

FORTUNE FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FORTUNE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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