DJ
Daniel V. Joyce
WESTPARK CAPITAL
New York, NY 10017
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CRD#: 1112928
DJ
Professional summary
Daniel Vincent Joyce, who also goes by Daniel VIncent Joyce 235, Daniel Vincent Joyce, is a registered financial advisor currently at WESTPARK CAPITAL, INC. located in New York, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Daniel has worked at 8 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Vincent Joyce 235 | Daniel Vincent Joyce
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.
FIXED INSURANCE POSITION: Independent Broker NATURE: placing occasional fixed life and health insurance products with clients INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 01/03/1991 ADDRESS: 69 71st Street, Guttenberg NJ 07093, United States DESCRIPTION: answering questions and obtaining quotes
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Vincent Joyce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Vincent Joyce's 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®
NoneExperience
Current
July 16, 2018 - Present
WESTPARK CAPITAL, INC.
Office #1: 535 Fifth Ave 22nd Floor, New York, NY 10017RIA
BD
CRD#: 39914
New York, NY
Current
April 9, 2018 - Present
WESTPARK CAPITAL, INC.
Office #1: 535 Fifth Ave 22nd Floor, New York, NY 10017RIA
BD
CRD#: 39914
New York, NY
Past
October 26, 2016 - March 22, 2018
SCF INVESTMENT ADVISORS, INC.
RIA
CRD#: 123608
New York, NY
Past
October 25, 2016 - March 22, 2018
SCF SECURITIES, INC.
BD
CRD#: 47275
NEW YORK, NY
Past
July 25, 2005 - February 24, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
NEW YORK, NY
Past
June 4, 1998 - February 24, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW YORK, NY
Past
May 14, 1991 - June 5, 1998
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
March 1, 1985 - March 13, 1986
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
November 25, 1983 - May 17, 1991
CHRIS SECURITIES INC.
BD
CRD#: 4453
Past
June 22, 1983 - April 16, 1984
PERSONAL ECONOMICS SECURITIES CORPORATION
BD
CRD#: 6862
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".
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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
RR
Arizona(6/10/2019)
RR
California(9/14/2020)
RR
Connecticut(4/9/2018)
RR
Florida(8/28/2020)
IAR
Florida(8/28/2020)
RR
New Jersey(4/9/2018)
IAR
New Jersey(7/16/2018)
RR
New York(4/9/2018)
IAR
New York(1/18/2022)
RR
Pennsylvania(6/4/2020)
RR
Texas(6/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 11/1/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WESTPARK CAPITAL, INC.
COAST CAPITAL WEALTH MANAGEMENT | WESTPARK CAPITAL, INC. | QUIVER FINANCIAL | PACIFIC CREST FINANCIAL | MEYERS FINANCIAL GROUP | MASON FINANCIAL PARTNERS | HARVARD FUNDING GROUP, INC. | FORETHOUGHT FINANCIAL | DUKES WEALTH MANAGEMENT INC. | DILIGENT FINANCIAL GROUP | DILIGENT FINANCIAL
CRD#: 39914 / SEC#: 801-108275, 8-48898
RIA
Registered Investment Advisory firm - SEC (9/7/2016 Approved)California
Registered Investment Advisory firm - SEC (10/14/2016 Terminated)New York
Registered Investment Advisory firm - SEC (9/14/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Century Park East 22nd Floor, New York, NY 10017
Mailing Address
1800 Century Park East Suite 220, Los Angeles, CA 90067
Phone number
(310) 843-9300
Established
Michigan since 09/05/2025
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
15
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
