Daniel W. Keating
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 Walter Keating, who also goes by Dan Keating, Daniel W Keating, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2009 - February 24, 2026
UBS FINANCIAL SERVICES INC.
April 24, 2009 - February 24, 2026
UBS FINANCIAL SERVICES INC.
July 3, 2008 - May 14, 2009
CITIGROUP GLOBAL MARKETS INC.
July 3, 2008 - May 14, 2009
CITIGROUP GLOBAL MARKETS INC.
April 1, 2003 - September 8, 2004
COLUMBIA MANAGEMENT ADVISORS, INC.
January 14, 1999 - October 25, 2002
FIS SECURITIES, INC.
August 24, 1998 - April 1, 2003
FLEET INVESTMENT ADVISORS INC.
January 2, 1997 - July 15, 1997
FIS SECURITIES, INC.
January 2, 1996 - December 31, 1996
CONSECO SECURITIES, INC.
February 28, 1994 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
February 8, 1993 - March 4, 1994
VERAVEST INVESTMENTS, INC.
September 27, 1989 - January 26, 1993
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
