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DK

Daniel M. Kantrowitz

Some features on this profile are disabled
CRD#: 1210994
DK

Professional summary

Daniel Morris Kantrowitz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Daniel had worked at 8 firms, which includes FOUR POINTS CAPITAL PARTNERS LLC, CELADON FINANCIAL GROUP LLC, NEWBRIDGE SECURITIES CORPORATION, EMERSON BENNETT & ASSOCIATES, TRADERIGHT SECURITIES INC., J. ALEXANDER SECURITIES INC., NORTH AMERICAN INSTITUTIONAL BROKERS, NASH WEISS & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 28, 2008 - September 24, 2008

FOUR POINTS CAPITAL PARTNERS LLC

BD
CRD#: 43149
RIDGEWOOD, NJ
Past

July 3, 2008 - August 4, 2008

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
BOCA RATON, FL
Past

September 26, 2001 - June 27, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

January 2, 2001 - September 25, 2001

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

September 19, 2000 - January 10, 2001

TRADERIGHT SECURITIES, INC.

BD
CRD#: 45598
LOCKPORT, IL
Past

October 26, 1998 - June 30, 2000

J. ALEXANDER SECURITIES, INC.

BD
CRD#: 7809
LOS ANGELES, CA
Past

March 6, 1991 - August 19, 1998

NORTH AMERICAN INSTITUTIONAL BROKERS

BD
CRD#: 20574
FT. LAUDERDALE, FL
Past

August 23, 1984 - March 13, 1991

NASH, WEISS & CO.

BD
CRD#: 6470
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 55
Date: 8/30/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 12/14/1996
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/1984
General Securities Representative Examination

Current Firm

FP
FOUR POINTS CAPITAL PARTNERS LLC
AURORA FINANCIAL SERVICES, L.L.C. | HAYDEN & ASSOCIATES | FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149 / SEC#: , 8-50162

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Mailing Address
55a E. Ridgewood Avenue Suite 12, Ridgewood, NJ 07450
Phone number
(212) 257-5240
Established
Texas since 07/23/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
5M HOLDINGS LLCMANAGING MEMBER
GRAY, JOHN CLARKECHIEF FINANCIAL OPERATIONS OFFICER / CFO1367440
MARTINO, MICHAEL CHRISTOPHERCHIEF EXECUTIVE OFFICER2579146
MURPHY, GENE RYANCHIEF OPERATIONS OFFICER4739772
TOOKE, JEFFREY ACHIEF COMPLIANCE OFFICER, AMLCO5621579

Disclosures

Regulatory Event1

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.

Company Information

FOUR POINTS CAPITAL PARTNERS LLC

CRD#: 43149

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