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DM

Daniel C. Mistretta

FRANKLIN DISTRIBUTORS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4499808
DM

Professional summary

Daniel Christopher Mistretta is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Stamford, Connecticut.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 21 and Series 25 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Daniel Christopher Mistretta'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

July 23, 2014 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: 100 First Stamford Place, Stamford, CT 06902
BD
CRD#: 109064
Stamford, CT
Past

September 5, 2013 - July 16, 2014

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
Stamford, CT
Past

May 6, 2010 - August 27, 2013

JEFFERIES LLC

BD
CRD#: 2347
STAMFORD, CT
Past

June 1, 2009 - June 30, 2010

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

September 17, 2008 - February 10, 2009

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
RYE BROOK, NY
Past

August 29, 2008 - September 18, 2008

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

December 19, 2005 - September 6, 2006

CLEARBRIDGE INVESTMENTS, LLC

RIA
CRD#: 137028
NEW YORK, NY
Past

December 1, 2005 - September 6, 2006

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
STAMFORD, CT
Past

September 15, 2005 - December 20, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
STAMFORD, CT
Past

March 7, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 9, 2003 - January 11, 2005

SUSQUEHANNA INVESTMENT GROUP

BD
CRD#: 33875
BALA CYNWYD, PA
Past

April 15, 2002 - March 17, 2005

SIG INDEX SPECIALISTS, LLC

BD
CRD#: 120014
NEW YORK, NY
Past

February 4, 2002 - October 17, 2002

SIG BROKERAGE, LP

BD
CRD#: 100400
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(1/2/2015)
RR
Connecticut
(7/23/2014)
RR
Florida
(1/2/2015)
RR
Massachusetts
(1/2/2015)
RR
New Hampshire
(1/2/2015)
RR
New Jersey
(1/2/2015)
RR
New York
(7/23/2014)
RR
Pennsylvania
(1/2/2015)
RR
Rhode Island
(1/2/2015)
RR
Vermont
(1/2/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/3/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 21
Date: 8/20/2002
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 25
Date: 6/6/2002
NYSE Trading Assistant Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
GAMBA, DANIEL ERNESTOCHIEF EXECUTIVE OFFICER4594704
MASOM, JEFFREY SCOTTPRESIDENT-DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546

Disclosures

Regulatory Event1

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

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064Stamford, CT 06902

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