Daniel L. Pimental

ALIGNMENT FINANCIAL GROUP

EXETER, NH 03833

Some features on this profile are disabled

CRD#: 2196343

Professional summary

Daniel Lawrence Pimental, who also goes by Dan Pimental, Daniel Pimental, is a registered financial advisor currently at ALIGNMENT FINANCIAL GROUP located in Exeter, New Hampshire.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Daniel has worked at 10 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Pimental | Daniel Pimental

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lawrence Pimental'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®

None

Experience

Current

April 19, 2023 - Present

ALIGNMENT FINANCIAL GROUP

Office #1: 167 Water Street, Exeter, NH 03833

RIA

CRD#: 306644

EXETER, NH

Past

October 5, 2015 - February 26, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

HINGHAM, MA

Past

October 2, 2015 - February 26, 2021

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

HINGHAM, MA

Past

July 10, 2009 - October 5, 2015

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

HINGHAM, MA

Past

January 8, 2009 - October 5, 2015

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

HINGHAM, MA

Past

May 18, 2007 - December 31, 2008

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 10, 2003 - April 30, 2007

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

BOSTON, MA

Past

June 26, 2002 - October 13, 2003

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

February 1, 2000 - November 9, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

November 12, 1997 - February 1, 2000

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

October 15, 1997 - November 6, 1997

HAMBRECHT & QUIST LLC

CRD#: 940

Past

August 31, 1992 - October 28, 1997

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

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".

ALIGNMENT FINANCIAL GROUP

ALIGNMENT FINANCIAL GROUP | ALIGNMENT FINANCIAL GROUP, LLC

CRD#: 306644 / SEC#: 801-127444

RIA

Registered Investment Advisory firm - (3/13/2023 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.

Highlighted states indicate IAR registrations

IAR

New Hampshire
(4/19/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/11/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/22/2021

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/27/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/5/2003

General Securities Principal Examination

Current Firm

ALIGNMENT FINANCIAL GROUP

ALIGNMENT FINANCIAL GROUP | ALIGNMENT FINANCIAL GROUP, LLC

CRD#: 306644 / SEC#: 801-127444

RIA

Registered Investment Advisory firm - (3/13/2023 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Exeter, NH

Mailing Address

Phone number

(617) 306-3159

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALIGNMENT FINANCIAL GROUP BROCHURE (3/6/2025)

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.

Similar Advisors

John Habig

MORGAN STANLEY

IAR

Rye, NH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel L. Pimental

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lawrence Pimental's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

GOLDMAN SACHS & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

JEFFERIES LLC

J.P. MORGAN SECURITIES INC.

HAMBRECHT & QUIST LLC

HAMBRECHT & QUIST LLC

GRUNTAL & CO., L.L.C.

Primary Firm SEC Registration

ALIGNMENT FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 9/11/2007

Series 63

Date: 9/9/1992

Series 3

Date: 4/22/2021

SIE

Date: 10/1/2018

Series 7

Date: 8/27/1992

Series 24

Date: 2/5/2003

Current Firm

ALIGNMENT FINANCIAL GROUP

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGNMENT FINANCIAL GROUP

TRUST BUT VERIFY

Similar Advisors