Daniel Francis Mcgovern
Professional Summary
Daniel Francis Mcgovern is a registered financial advisor currently at ETC BROKERAGE SERVICES, LLC located in Newtown, Pennsylvania. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1985. Daniel has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
41 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC
Contact Information
Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240Mailing Address
1 Equity Way, Westlake, OH 44145Phone Number
(877) 403-0369Established
Connecticut since 05/23/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2025About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Francis Mcgovern's CRS (Customer Relationship Summary).
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