Who is Daniel Finley (CRD#: 3239713)?
Daniel Finley serves as a Fort Wayne, Indiana-based financial counselor with 23 years of applicable expertise. Finley works for Merrill Lynch, Pierce, Fenner & Smith Inc. Daniel Finely had previously worked with Merrill Lynch, Pierce, Fenner & Smith Inc., and Bank of America, N.A.
Finley holds Series 63 & Series 65 permits, certifying him as a securities agent as well as a broker-dealer representative, and has the authorization as an advisor to clients in Indianapolis and Texas.
Daniel Finley is a Merrill Lynch Senior Finance Advisor, and Managing Director based in Greater Fort Wayne. Daniel Finley graduated with honors from Indianapolis University.
Daniel Finley focuses on providing a complete approach to wealth management that starts with obtaining to know the client and their family, their financial condition, and what is most important to them.
Then, the organization assists them in developing a tailored wealth management strategy that is adaptable when their requirements and market circumstances change.
About Merrill Lynch Wealth Management:History, achievements, leadership, lawsuits, & disputes
Merrill Lynch, Pierce, Fenner & Smith Co. is a company situated in New York, NY. It has 3,372 offices and 36,687 employees. It handles a hundred billion dollars in total assets across 2,864,234 client accounts, making it one of the largest financial advice businesses in the country in terms of assets under management. The company advises 4,459 nonprofits and foundations.
23% of its 2,864,234 funds are held by high-net-worth people with assets worth more than $1 million. Portfolio management for investors and small enterprises, management of portfolios for collective mutual funds, portfolio monitoring for clients of institutions, pension advisory services, the selection of additional advisers, and other services are all provided by the advising firm.
Merrill Lynch has traditionally catered to customers with a minimum of one million dollars in assets, therefore numerous Merrill Lynch consultants will be at ease working with high-net-worth individuals.
Methodology– Merrill Lynch Wealth Management
According to examined data on average senior expenditures, cost of living, and returns on investments to establish how many decades of retirement a one-million-dollar nest fund would provide in communities across the United States.
First, examined Bureau of Employment Statistics (BLS) statistics on the average yearly expenditures of seniors. We then used the Council for Communities and Economic Research’s cost of living statistics to modify those national average levels of spending depending on the prices of each expense class (housing, groceries, medical care, utilities, transportation, and others) in each location.
SmartAsset computed the mean price of housing for pensioners in the major U.S. cities using this data.
The estimated 2% actual return (that is, interest minus inflation) on the $1 million. Then we multiplied a million dollars by the total of those annual figures to establish the duration that $1 million would take to pay for retirement expenditures in every one of the towns included in our study. The survey ranked cities higher where $1 million remained the longest.
What is SEC?
The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.
Daniel Finley Disclosures: BrokerCheck, FINRA, And SEC Reports
Clients accuse improper selling between October 2017 to May 24, 2018, according to BrokersCheck reports. It has a damage request of around $6,600.00. Brokers remarked that the business refuted the charges because the client acknowledged he authorized the acquisition & disposal of GE shares during the relevant timeframe.
SEC Litigations & Forms
Daniel Finley Lawsuits, Legal Battles, & Disputes
The great majority of court cases filed in the United States of America are saved by CourtListener, UniCourt, Law.com, Justia, Trellis Law, and Law360. When Daniel Finley is involved in a scenario, you can learn more about it by following the links offered below.
There might be more pending lawsuits against Daniel Finley that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Daniel Finley on these websites, you can contact the local authorities and check if they have a physical copy of any cases.
Daniel Finley Complaints, Class Action Lawsuits & Legal Battles
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Daniel Finley using the websites down below:
Sonn Law Group
White Law Group
Israels & Neuman, PLC
You can contact the law firms mentioned above if facing issues with Daniel Finley or any financial advisor.
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