Daniel H. Klausner

HOULIHAN LOKEY CAPITAL

NEW YORK, NY 10167

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CRD#: 1161591

Professional summary

Daniel Hoffman Klausner, who also goes by Daniel H Klausner, Daniel Klausner, is a registered financial professional currently at HOULIHAN LOKEY CAPITAL, INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel H Klausner | Daniel Klausner

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Hoffman Klausner'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

July 25, 2022 - Present

HOULIHAN LOKEY CAPITAL, INC.

Office #1: 245 Park Avenue 20th Floor, New York, NY 10167

CRD#: 17708

NEW YORK, NY

Past

November 25, 2013 - January 6, 2015

FTI CAPITAL ADVISORS, LLC

CRD#: 123434

NEW YORK, NY

Past

June 6, 2002 - December 21, 2012

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

February 12, 1997 - December 5, 2001

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

March 16, 1995 - March 3, 1997

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 10, 1991 - February 9, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(8/13/2022)

Exams

State Security Law Exam

Series 63

Date: 8/12/2022

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/18/2022

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 5/27/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/9/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/15/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708 / SEC#: , 8-35643

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Mailing Address

10250 Constellation Boulevard 5th Floor, Los Angeles, CA 90067

Phone number

(310) 553-8871

Established

California since 01/09/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC	DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC.
ADELSON, SCOTT JOSEPH	PRESIDENT/CEO AND DIRECTOR (HLI)	2147111
ALLEY, JAMES LINDSEY	TREASURER/CHIEF FINANCIAL OFFICER (HLI)	2394515
BEISER, SCOTT LEE	VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI)	2026185
BEN-CANAAN, MARC AVI	CCO/AMLCO	4885345
CRAIN, CHRISTOPHER MADISON	SECRETARY/GENERAL COUNSEL
TANIGUCHI, EDWARD NEAL	CHIEF FINANCIAL OFFICER, FINOP	4632869
YAMARONE, CHARLES ANTHONY III	CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI	2190400

Disclosures

Regulatory Event

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 H. Klausner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Hoffman Klausner's CRS (Customer Relationship Summary).

Certified licenses

Experience

FTI CAPITAL ADVISORS, LLC

UBS SECURITIES LLC

MORGAN STANLEY & CO. LLC

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/2022

Series 7TO

Date: 7/18/2022

Series 79TO

Date: 5/27/2022

Series 7

Date: 9/9/1991

Series 24

Date: 8/15/2011

FINRA

Current Firm

HOULIHAN LOKEY CAPITAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HOULIHAN LOKEY CAPITAL, INC.

TRUST BUT VERIFY

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