Daniel Joseph Mullane
Professional Summary
Daniel Joseph Mullane, who also goes by Dan Mullane, is a registered financial advisor currently at HERBERT J. SIMS CAPITAL MANAGEMENT, INC. located in Fairfield, Connecticut and HERBERT J. SIMS & CO, INC. located in Fairfield, Connecticut. Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Daniel has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Mullane
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Years of Experience
42 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Current Firm
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
Contact Information
Main Address
2150 Post Road Suite 301, Fairfield, CT 06824Phone Number
(203) 418-9000# of Employees
30SEC notice filing (13 States and Territories)
Registered to provide investment advisory services in 13 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
685AUM (Assets Under Management)
$436,943,333Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
State Registrations and Notice Filings
(11/6/2009)
(1/16/2015)
(11/6/2009)
(11/19/2020)
(11/6/2009)
(11/18/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1989SRO Registrations
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Mullane's CRS (Customer Relationship Summary).
Similar Advisors
AE WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
RBC CAPITAL MARKETS, LLC