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DG

Daniel Ernesto Gamba

CFA

FRANKLIN DISTRIBUTORS

NEW YORK, NY

·CRD# 4594704·22 years experience

Professional Summary

Daniel Ernesto Gamba, CFA, who also goes by Daniel Gamba, Daniel Gamba Valega, is a registered financial advisor currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Daniel Gamba, Daniel Gamba Valega

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFA

Chartered Financial Analyst

Years of Experience

22 years in the financial services industry

Current & Past Employments

FRANKLIN DISTRIBUTORS, LLC·CRD# 109064

BD

One Madison Avenue, New York, NY 10010

November 7, 2025 - Present

NORTHERN TRUST SECURITIES, INC.·CRD# 7927

BD

Chicago, IL

April 10, 2023 - September 3, 2025

BLACKROCK INVESTMENTS, LLC·CRD# 38642

BD

New York, NY

January 3, 2012 - February 27, 2023

BLACKROCK FUND DISTRIBUTION COMPANY·CRD# 146183

BD

New York, NY

November 6, 2009 - December 31, 2011

BLACKROCK EXECUTION SERVICES·CRD# 39438

BD

San Francisco, CA

September 16, 2004 - December 31, 2009

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER	—
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

1

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(11/7/2025)

RR

Alaska
(11/7/2025)

RR

Arizona
(11/7/2025)

RR

Arkansas
(11/7/2025)

RR

California
(11/7/2025)

RR

Colorado
(11/7/2025)

RR

Connecticut
(11/7/2025)

RR

Delaware
(11/7/2025)

RR

District of Columbia
(11/7/2025)

RR

Florida
(11/7/2025)

RR

Georgia
(11/7/2025)

RR

Hawaii
(11/7/2025)

RR

Idaho
(11/7/2025)

RR

Illinois
(11/7/2025)

RR

Indiana
(11/7/2025)

RR

Iowa
(11/7/2025)

RR

Kansas
(11/7/2025)

RR

Kentucky
(11/7/2025)

RR

Louisiana
(11/7/2025)

RR

Maine
(11/7/2025)

RR

Maryland
(11/7/2025)

RR

Massachusetts
(11/7/2025)

RR

Michigan
(11/7/2025)

RR

Minnesota
(11/7/2025)

RR

Mississippi
(11/7/2025)

RR

Missouri
(11/7/2025)

RR

Montana
(11/7/2025)

RR

Nebraska
(11/7/2025)

RR

Nevada
(11/7/2025)

RR

New Hampshire
(11/7/2025)

RR

New Jersey
(11/7/2025)

RR

New Mexico
(11/7/2025)

RR

New York
(11/7/2025)

RR

North Carolina
(11/7/2025)

RR

North Dakota
(11/7/2025)

RR

Ohio
(11/7/2025)

RR

Oklahoma
(11/7/2025)

RR

Oregon
(11/7/2025)

RR

Pennsylvania
(11/7/2025)

RR

Puerto Rico
(11/7/2025)

RR

Rhode Island
(11/7/2025)

RR

South Carolina
(11/7/2025)

RR

South Dakota
(11/7/2025)

RR

Tennessee
(11/7/2025)

RR

Texas
(11/7/2025)

RR

Utah
(11/7/2025)

RR

Vermont
(11/7/2025)

RR

Virgin Islands
(11/7/2025)

RR

Virginia
(11/7/2025)

RR

Washington
(11/7/2025)

RR

West Virginia
(11/7/2025)

RR

Wisconsin
(11/7/2025)

RR

Wyoming
(11/7/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2004About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Nov 2025About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 2004About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 2013About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Daniel Ernesto Gamba's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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DG

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