Best Investors Account Sign in

Daniel A. Figuly

Wells Fargo Clearing Services, LLC

New Haven, CT

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-05-19
NY RA APPROVED 2022-06-09
CT RA APPROVED 2022-06-06
  • TX RA
    APPROVED_RES
    Since 2024-05-19
  • NY RA
    APPROVED
    Since 2022-06-09
  • CT RA
    APPROVED
    Since 2022-06-06

Branch Locations

555 Long Wharf Dr 9Th Fl, New Haven, CT 06511 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Securities Llc Stratford CT 03/2016 05/2022
Wells Fargo Clearing Services, Llc New Haven CT 06/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-20
S65 Uniform Investment Adviser Law Examination 1996-02-07
S63 Uniform Securities Agent State Law Examination 1996-01-29
  • S66 Uniform Combined State Law Examination
    2005-04-20
  • S65 Uniform Investment Adviser Law Examination
    1996-02-07
  • S63 Uniform Securities Agent State Law Examination
    1996-01-29
Designations
Other Names
  • Daniel Anthony Figuly

View on SEC IAPD

Other Firms

KREITLER FINANCIAL LLC
UBS FINANCIAL SERVICES INC.
STRATEGIC ADVISERS LLC
WASHINGTON TRUST ADVISORS
LPL FINANCIAL LLC
RAYMOND JAMES & ASSOCIATES, INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
J.P. MORGAN SECURITIES LLC

Other Investors

CHARLES FRANCIS KREITLER
DWAYNE MICHAEL TYRIL
JACOB WILLIAM NESS
ALYSE ROSE UZARSKI
Beau T Tillinghast
MARC A. CIOCIOLA
DAVID LEWIS KING
Wiktor Wozniak

Other Offices

KREITLER FINANCIAL LLC · NEW HAVEN, CT
UBS FINANCIAL SERVICES INC. · NEW HAVEN, CT
STRATEGIC ADVISERS LLC · NEW HAVEN, CT
WASHINGTON TRUST ADVISORS · NEW HAVEN, CT
WASHINGTON TRUST ADVISORS · NEW HAVEN, CT
LPL FINANCIAL LLC · NEW HAVEN, CT
RAYMOND JAMES & ASSOCIATES, INC. · NEW HAVEN, CT
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NEW HAVEN, CT

More in New Haven, CT

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor