Daniel J. Florina

FRANKLIN DISTRIBUTORS

Austin, TX

Some features on this profile are disabled

CRD#: 5405773

Professional summary

Daniel J Florina is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in Austin, Texas.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 J Florina'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 2, 2024 - Present

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

Austin, TX

Past

April 10, 2017 - July 2, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

November 11, 2013 - April 5, 2017

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

July 19, 2013 - October 17, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

CHICAGO, IL

Past

June 11, 2012 - October 17, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHICAGO, IL

Past

August 3, 2011 - April 30, 2012

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

July 7, 2008 - July 25, 2011

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

September 10, 2007 - June 20, 2008

TRADIER BROKERAGE, INC.

CRD#: 104982

CHICAGO, IL

State Registrations and Notice Filings

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

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

California
(7/2/2024)

Connecticut
(7/2/2024)

Florida
(7/2/2024)

Illinois
(7/2/2024)

Indiana
(7/2/2024)

Iowa
(7/2/2024)

Massachusetts
(7/2/2024)

Michigan
(7/2/2024)

Minnesota
(7/2/2024)

Missouri
(7/2/2024)

New York
(7/2/2024)

North Dakota
(7/2/2024)

South Dakota
(7/2/2024)

Wisconsin
(7/2/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/17/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/31/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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

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)

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

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel J. Florina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel J Florina's CRS (Customer Relationship Summary).

Certified licenses

Experience

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

DWS DISTRIBUTORS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ADP BROKER-DEALER, INC.

JOHN HANCOCK DISTRIBUTORS LLC

TRADIER BROKERAGE, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/17/2013

Series 63

Date: 12/31/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2007

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

Similar Advisors