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DG

Daniel P. Gale

KING WEALTH MANAGEMENT GROUP
Saratoga Springs, NY 12866
Some features on this profile are disabled
CRD#: 4138857
DG

Professional summary

Daniel Paul Gale is a registered financial advisor currently at KING WEALTH MANAGEMENT GROUP, LLC located in Saratoga Springs, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Paul Gale'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

May 30, 2021 - Present

KING WEALTH MANAGEMENT GROUP, LLC

Office #1: 270 West Circular Street Suite 1, Saratoga Springs, NY 12866
RIA
CRD#: 159550
Saratoga Springs, NY
Past

June 30, 2014 - December 31, 2018

KING WEALTH MANAGEMENT GROUP, LLC

RIA
CRD#: 159550
SARATOGA SPRINGS, NY
Past

February 3, 2012 - January 12, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
SARATOGA SPRINGS, NY
Past

June 1, 2009 - February 8, 2012

MORGAN STANLEY

BD
CRD#: 149777
SARATOGA SPRINGS, NY
Past

October 23, 2003 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SARATOGA SPRINGS, NY
Past

September 25, 2000 - November 14, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

March 16, 2000 - September 25, 2000

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA

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".
KW
KING WEALTH MANAGEMENT GROUP, LLC
ARGYLE WEALTH MANAGEMENT, LLC | KING WEALTH MANAGEMENT GROUP, LLC

CRD#: 159550 / SEC#: 801-73023

RIA
Registered Investment Advisory firm - (1/10/2012 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 York
(5/30/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/9/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/17/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KW
KING WEALTH MANAGEMENT GROUP, LLC
ARGYLE WEALTH MANAGEMENT, LLC | KING WEALTH MANAGEMENT GROUP, LLC

CRD#: 159550 / SEC#: 801-73023

RIA
Registered Investment Advisory firm - (1/10/2012 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
270 West Circular Street Suite 1, Saratoga Springs, NY 12866
Mailing Address
Phone number
(518) 306-5640
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KING WEALTH MANAGEMENT GROUP DISCLOSURE BROCHURE (1/27/2026)

Regulatory assets under management

Total Number of Accounts1,894
AUM (Assets Under Management)$ 1,084,132,315

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.

Company Information

KING WEALTH MANAGEMENT GROUP, LLC

CRD#: 159550Saratoga Springs, NY 12866

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