AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DG

Daniel E. Gamba

FRANKLIN DISTRIBUTORS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 4594704
DG

Professional summary

Daniel Ernesto Gamba, CFA, who also goes by Daniel Gamba, Daniel Gamba Valega, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Gamba | Daniel Gamba Valega

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 Ernesto Gamba'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®
CFA

Chartered Financial Analyst

Experience

Current

November 7, 2025 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010
BD
CRD#: 109064
NEW YORK, NY
Past

April 10, 2023 - September 3, 2025

NORTHERN TRUST SECURITIES, INC.

BD
CRD#: 7927
Chicago, IL
Past

January 3, 2012 - February 27, 2023

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

November 6, 2009 - December 31, 2011

BLACKROCK FUND DISTRIBUTION COMPANY

BD
CRD#: 146183
NEW YORK, NY
Past

September 16, 2004 - December 31, 2009

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
SAN FRANCISCO, CA

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
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

State Security Law Exam
RR
Series 63
Date: 11/11/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/7/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/2013
General Securities Principal 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)
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
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#: 109064New York, NY 10010

TRUST BUT VERIFY

Monitor Daniel Gamba

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.