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DP

Daniel P. Perreault

TOOMEY INVESTMENT MANAGEMENT
Wallingford, CT 06492
Some features on this profile are disabled
CRD#: 6523633
DP

Professional summary

Daniel Paul Perreault, who also goes by Daniel Perreault, is a registered financial advisor currently at TOOMEY INVESTMENT MANAGEMENT, INC located in Wallingford, Connecticut and LEIGH BALDWIN & CO., LLC located in Wallingford, Connecticut.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Daniel has worked at 2 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel Perreault

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) - RIA

Click below to view Daniel Paul Perreault'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

February 1, 2019 - Present

TOOMEY INVESTMENT MANAGEMENT, INC

Office #1: 420 Center Street 1st Floor, Wallingford, CT 06492
RIA
CRD#: 127346
Wallingford, CT
Current

September 27, 2019 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 420 Center Street Fl 1, Wallingford, CT 06492
RIA
BD
CRD#: 38751
Wallingford, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TI
TOOMEY INVESTMENT MANAGEMENT, INC
TOOMEY FINANCIAL ADVISORS | TOOMEY, BRENDAN RICHARD, SR. | TOOMEY INVESTMENT MANAGEMENT, INC. | TOOMEY INVESTMENT MANAGEMENT, INC

CRD#: 127346 / SEC#: 801-112517

RIA
Registered Investment Advisory firm - (2/23/2018 Approved)
Connecticut
Registered Investment Advisory firm - (4/13/2018 Terminated)
Florida
Registered Investment Advisory firm - (4/13/2018 Terminated)
Massachusetts
Registered Investment Advisory firm - (4/13/2018 Terminated)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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

IAR
Connecticut
(2/1/2019)
RR
Connecticut
(9/27/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/30/2019
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/27/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/30/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TOOMEY INVESTMENT MANAGEMENT, INC
TOOMEY FINANCIAL ADVISORS | TOOMEY, BRENDAN RICHARD, SR. | TOOMEY INVESTMENT MANAGEMENT, INC. | TOOMEY INVESTMENT MANAGEMENT, INC

CRD#: 127346 / SEC#: 801-112517

RIA
Registered Investment Advisory firm - (2/23/2018 Approved)
Connecticut
Registered Investment Advisory firm - (4/13/2018 Terminated)
Florida
Registered Investment Advisory firm - (4/13/2018 Terminated)
Massachusetts
Registered Investment Advisory firm - (4/13/2018 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
420 Center Street 1st Floor, Wallingford, CT 06492
Mailing Address
Phone number
(203) 949-1710
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts871
AUM (Assets Under Management)$ 321,024,425

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

TOOMEY INVESTMENT MANAGEMENT, INC

CRD#: 127346Wallingford, CT 06492

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