Daniel Pantano-schwab
Professional Summary
Daniel Pantano-schwab, who also goes by Daniel Joseph Pantano-schwab, Daniel Joseph Pawtano Schwab, is a registered financial advisor currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Joseph Pantano-Schwab, Daniel Joseph Pawtano Schwab
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.
Contact Information
Main Address
1290 Broadway Suite 1000, Denver, CO 80203Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203Phone Number
(303) 623-2577Established
Colorado since 07/01/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2008About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Mar 2013About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Pantano-schwab's CRS (Customer Relationship Summary).
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