Daniel E. Nagy

BACHE CAPITAL MANAGEMENT

Santa Monica, CA

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CRD#: 1146217

Professional summary

Daniel Emery Nagy is a registered financial advisor currently at BACHE CAPITAL MANAGEMENT located in Santa Monica, California and APEXUS CAPITAL LLC located in Santa Monica, California.

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 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 14, Series 4, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) SANTA MONICA EDUCATION FOUNDATION; INVESTMENT RELATED; SANTA MONICA, CA; CHARITABLE ORGANIZATION; INVESTMENT COMMITTEE MEMBER; 09/30/2013; 3; 0; HOLD PERIODIC MEETINGS TO DISCUSS INVESTMENT IDEAS. (2) BACHE CAPITAL MANAGEMENT INC.; INVESTMENT-RELATED; SANTA MONICA, CA; INVESTMENT ADVISORY; PRESIDENT, CIO & CCO 10/2022 & FIXED INCOME INVESTMENT MANAGER; 09/2015; 30 HRS/MO; 20 HRS/MO DURING TRADING; MANAGE FIXED INCOME, CONSULT WITH CLIENTS. (3) APEXUS CAPITAL HOLDINGS INC.; INVESTMENT-RELATED; SANTA MONICA, CA; HOLDING FOR APEXUS CAPITAL LLC; SOLE SHAREHOLDER AND PRESIDENT; 09/2015; 2 HRS/MO; 1 HR/MO DURING TRADING; THIS ENTITY IS THE SOLE MEMBER HOLDING APEXUS CAPITAL LLC. (4) APEXUS CAPITAL LLC; INVESTMENT-RELATED; SANTA MONICA, CA; SECURITIES BROKER DEALER; MANAGING MEMBER; START DATE: 09/2015; 175 HOURS PER MONTH; 105 HR/MO DURING TRADING; SECURITIES BROKER DEALER FOCUSING ON FIXED INCOME. (5) APEXUS CAPITAL MANAGEMENT LLC; INVESTMENT-RELATED; SANTA MONICA, CA; FIXED INCOME FEE-BASED BUSINESS; MANAGING MEMBER; 10/2015; 0 HRS/MO; 0 HRS/MO DURING TRADING; NON-OPERATING ENTITY: MANAGE FIXED INCOME AS A CONTRACTOR TO BACHE CAPITAL MANAGEMENT, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Emery Nagy'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®

None

Experience

Current

October 6, 2015 - Present

BACHE CAPITAL MANAGEMENT

RIA

CRD#: 113719

Santa Monica, CA

Current

September 30, 2016 - Present

APEXUS CAPITAL LLC

Office #1: 321 19th Street, Santa Monica, CA 90402-2409

CRD#: 281779

Santa Monica, CA

Past

June 21, 2000 - November 22, 2016

MDB CAPITAL

CRD#: 42677

SANTA MONICA, CA

Past

May 18, 2000 - June 22, 2000

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

January 22, 1990 - May 18, 2000

DRAKE & COMPANY, INC.

CRD#: 16227

NEW YORK, NY

Past

December 18, 1989 - January 9, 1990

DRAKE & COMPANY, INC.

CRD#: 16227

Past

November 7, 1988 - December 19, 1989

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

July 7, 1983 - December 19, 1989

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

CRD#: 595

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.

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

IAR

California
(10/6/2015)

California
(10/19/2016)

Nevada
(11/29/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/1/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 5/11/2016

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/21/2016

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/7/2007

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BACHE CAPITAL MANAGEMENT

BACHE CAPITAL MANAGEMENT | BACHE STEPHEN KENNETH | BACHE CAPITAL MANAGEMENT, INC.

CRD#: 113719 / SEC#: 801-57976

RIA

Registered Investment Advisory firm - (7/12/2012 Terminated)

California

Registered Investment Advisory firm - (6/20/2012 Approved)

Oregon

Registered Investment Advisory firm - (2/6/2025 Cancelled)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Santa Monica, CA

Mailing Address

Phone number

(310) 850-3868

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 42,647,081

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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Firm Stability Insights

Daniel E. Nagy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Emery Nagy's CRS (Customer Relationship Summary).

Certified licenses

Experience

APEXUS CAPITAL LLC

MDB CAPITAL

INTERFIRST CAPITAL CORPORATION

DRAKE & COMPANY, INC.

DRAKE & COMPANY, INC.

WEDBUSH SECURITIES INC.

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/1/1989

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1983

Series 14

Date: 1/2/2023

Series 4

Date: 5/11/2016

Series 24

Date: 1/21/2016

Series 53

Date: 6/7/2007

FINRA

Current Firm

BACHE CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BACHE CAPITAL MANAGEMENT

TRUST BUT VERIFY

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