Daniel L. Keane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Louis Keane, who also goes by Daniel Keane, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2017 - April 28, 2017
SORRENTO PACIFIC FINANCIAL, LLC
March 28, 2014 - December 9, 2015
MML INVESTORS SERVICES, LLC
June 27, 2006 - May 9, 2013
M&T SECURITIES, INC.
September 29, 2004 - April 28, 2006
M&T SECURITIES, INC.
April 1, 2003 - September 21, 2004
LEGG MASON WOOD WALKER, INCORPORATED
May 15, 2001 - April 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 22, 1993 - December 11, 1996
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
March 27, 1991 - December 31, 1991
THE INVESTMENT CENTER, INC.
January 12, 1984 - July 2, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SORRENTO PACIFIC FINANCIAL, LLC
CRD#: 127787 / SEC#: 801-70354, 8-66046
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 924 |
| AUM (Assets Under Management) | $ 222,328,734 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
