Daniel J. Mahoney

360 FINANCIAL

Wayzata, MN 55391

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CRD#: 1342820

Professional summary

Daniel James Mahoney, CFP® is a registered financial advisor currently at 360 FINANCIAL located in Wayzata, Minnesota and LPL FINANCIAL LLC located in Wayzata, Minnesota.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Estate Planning

Investment Planning

Retirement Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. 08/30/2013 - 360 FINANCIAL/ RIA/ 100%/ MINNETONKA, MN 2. 08/30/2013 - 360 FINANCIAL/ DBA ONLY/ 100%/ MINNETONKA, MN

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel James Mahoney'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

July 28, 2014 - Present

360 FINANCIAL

Office #1: 849 Lake Street East, Wayzata, MN 55391

RIA

CRD#: 168600

Wayzata, MN

Current

August 30, 2013 - Present

LPL FINANCIAL LLC

Office #1: 849 Lake Street East, Wayzata, MN 55391

RIA

CRD#: 6413

Wayzata, MN

Past

April 24, 2009 - August 30, 2013

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MINNEAPOLIS, MN

Past

October 17, 1994 - May 13, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

BLOOMINGTON, MN

Past

February 21, 1985 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BLOOMINGTON, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

360 FINANCIAL

360 FINANCIAL | 360 FINANCIAL, INC.

CRD#: 168600 / SEC#: 801-78425

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alaska
(7/12/2018)

Arizona
(8/30/2013)

California
(8/30/2013)

Florida
(8/30/2013)

Minnesota
(8/30/2013)

IAR

Minnesota
(7/28/2014)

Missouri
(10/23/2014)

Oregon
(8/30/2013)

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

State Security Law Exam

IAR

Series 65

Date: 12/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

360 FINANCIAL

360 FINANCIAL | 360 FINANCIAL, INC.

CRD#: 168600 / SEC#: 801-78425

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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Contact information

Main Address

849 Lake Street East, Wayzata, MN 55391

Mailing Address

Phone number

(952) 542-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,940
AUM (Assets Under Management)	$ 567,566,550

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Daniel J. Mahoney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel James Mahoney's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

360 FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1999

Series 63

Date: 2/25/1985

SIE

Date: 10/1/2018

Series 7

Date: 2/16/1985

FINRA

Current Firm

360 FINANCIAL

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

360 FINANCIAL

TRUST BUT VERIFY

Contact information

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