Daniel C. Gardner

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CRD#: 849399

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Charles Gardner was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1978. Daniel had worked at 13 firms and has passed the 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 1, 2014 - May 1, 2019

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

KING OF PRUSSIA, PA

Past

June 24, 2003 - May 2, 2007

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

KING OF PRUSSIA, PA

Past

July 30, 1999 - June 29, 2001

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040

BRYN MAWR, PA

Past

June 26, 1997 - September 8, 1999

BOENNING & SCATTERGOOD, INC.

CRD#: 100

WEST CONSHOHOCKEN, PA

Past

April 28, 1995 - February 18, 1997

PACIFIC GROWTH EQUITIES, LLC

CRD#: 24835

SAN FRANCISCO, CA

Past

August 28, 1989 - March 27, 1995

INVESTEC INC.

CRD#: 18553

NEW YORK, NY

Past

February 23, 1988 - September 26, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

August 31, 1987 - February 26, 1988

JOHNSTON, LEMON & CO. INCORPORATED

CRD#: 473

Past

February 12, 1985 - February 12, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

August 7, 1984 - February 7, 1985

PERSHING LLC

CRD#: 7560

Past

October 6, 1982 - July 10, 1984

DILLON, READ SECURITIES INC.

CRD#: 10576

Past

June 8, 1982 - October 1, 1982

SBC WARBURG DILLON READ INC.

CRD#: 1650

Past

September 4, 1981 - June 17, 1982

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

September 22, 1980 - July 14, 1981

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

January 31, 1980 - October 19, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

March 1, 1978 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/9/2014

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: 4/1/2014

General Securities Representative Examination

Current Firm

EMERGING GROWTH EQUITIES, LTD.

CRD#: 47040 / SEC#: , 8-51642

Terminated by SEC on 03/05/2022

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Contact information

Main Address

Mailing Address

Phone number

Established

Pennsylvania since 01/26/1999

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
EGE HOLDINGS, LTD.	LIMITED PARTNER
BERLACHER, GREGORY JOSEPH	CEO	1929689
CORKERY, COLLEEN JANE	FINANCIAL AND OPERATIONS PRINCIPAL	4818898
EGE SPECIAL PURPOSE CORP.	GENERAL PARTNER
SEID, JAY DAVID	CHIEF COMPLIANCE OFFICER	4809707

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.

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Advisor Monitoring

Firm Stability Insights

Daniel C. Gardner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMERGING GROWTH EQUITIES, LTD.

EMERGING GROWTH EQUITIES, LTD.

BOENNING & SCATTERGOOD, INC.

PACIFIC GROWTH EQUITIES, LLC

INVESTEC INC.

UBS FINANCIAL SERVICES INC.

JOHNSTON, LEMON & CO. INCORPORATED

LEHMAN BROTHERS INC.

PERSHING LLC

DILLON, READ SECURITIES INC.

SBC WARBURG DILLON READ INC.

CIBC WORLD MARKETS CORP.

BECKER PARIBAS INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 4/9/2014

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2014

Current Firm

EMERGING GROWTH EQUITIES, LTD.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EMERGING GROWTH EQUITIES, LTD.

TRUST BUT VERIFY

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