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Daniel Patrick Gaertner Jr.
Daniel P Gaertner Jr., Daniel P Gaertner, Daniel Patrick Gaertner
CRD#: 6675821
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 2055 CROCKER ROAD
WESTLAKE, OH 44145
Registration History
201620172018201920202021202220232024202520262 FIRMS2018 - Present (7 years)BAMERICAN CENTURY INVESTMENT SE... (CRD# 17437)2016 - 2018 (1 year)
License(s)

State Registrations

B
Arizona 12/25/2019

B
New York 1/8/2018

B
California 1/8/2018

B
North Carolina 1/26/2024

B
Florida 7/11/2024

B
Ohio 1/8/2018

B
Illinois 1/8/2018

IA
Ohio 1/8/2018

B
Kentucky 1/5/2021

B
Pennsylvania 1/8/2018

B
Massachusetts 6/14/2024

IA
Texas 1/11/2021

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2055 CROCKER ROAD, WESTLAKE, OH 44145
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 1/8/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
2055 CROCKER ROAD, WESTLAKE, OH 44145
600 SUPERIOR AVE E. - 27TH FLOOR, CLEVELAND, OH 44114
Registered with this firm since 1/8/2018

Previous Registration(s)
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B
07/27/2016 - 01/09/2018 AMERICAN CENTURY INVESTMENT SERVICES INC. (CRD#:17437) KANSAS CITY, MO
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.