Daniel L. Pimental
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 Lawrence Pimental, who also goes by Dan Pimental, Daniel Pimental, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 10 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 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 19, 2023 - December 31, 2025
ALIGNMENT FINANCIAL GROUP
October 5, 2015 - February 26, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 2, 2015 - February 26, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 10, 2009 - October 5, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 8, 2009 - October 5, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 18, 2007 - December 31, 2008
GOLDMAN SACHS & CO. LLC
October 10, 2003 - April 30, 2007
CREDIT SUISSE SECURITIES (USA) LLC
June 26, 2002 - October 13, 2003
JEFFERIES LLC
February 1, 2000 - November 9, 2001
J.P. MORGAN SECURITIES INC.
November 12, 1997 - February 1, 2000
HAMBRECHT & QUIST LLC
October 15, 1997 - November 6, 1997
HAMBRECHT & QUIST LLC
August 31, 1992 - October 28, 1997
GRUNTAL & CO., L.L.C.
Primary Firm SEC Registration
ALIGNMENT FINANCIAL GROUP
CRD#: 306644 / SEC#: 801-127444
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
ALIGNMENT FINANCIAL GROUP
CRD#: 306644 / SEC#: 801-127444
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 15,000,000 |
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.
