Warren Daniels

LOOP CAPITAL MARKETS LLC

New York, NY 10005

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CRD#: 1354457

Professional summary

Warren Daniels Jr., who also goes by Warren Daniels Jr, Warren Daniels Jr., Warren Daniels, Warren Daniels Jr, Bo Daniels, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in New York, New York.

Warren is registered as a RR (Registered Representative) and started their career in finance in 1985. Warren has worked at 5 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Warren Daniels Jr | Warren Daniels Jr. | Warren Daniels | Warren Daniels Jr | Bo Daniels

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 Warren Daniels Jr.'s CRS (Customer Relationship Summary).

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

September 29, 2016 - Present

LOOP CAPITAL MARKETS LLC

Office #1: 88 Pine Street 25th Floor, New York, NY 10005Office #2: 425 S. Financial Place Ste 2700, Chicago, IL 60605Office #3: 440 Louisiana 900, Houston, TX 77002Office #4: 1175 Peachtree St. Ne Suite 1000, Atlanta, GA 30361

RIA

CRD#: 43098

New York, NY

Past

January 23, 2014 - September 15, 2016

PNC CAPITAL MARKETS LLC

CRD#: 15647

ATLANTA, GA

Past

May 14, 2009 - January 28, 2014

MORGAN STANLEY & CO. LLC

CRD#: 8209

ATLANTA, GA

Past

January 29, 2003 - May 6, 2009

LOOP CAPITAL MARKETS LLC

CRD#: 43098

HOUSTON, TX

Past

September 19, 1989 - January 24, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

July 24, 1985 - June 19, 1987

JRL CAPITAL CORPORATION

CRD#: 10225

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

Georgia
(9/29/2016)

Texas
(8/9/2018)

Exams

State Security Law Exam

Series 63

Date: 8/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative 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: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/25/2003

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois

Registered Investment Advisory firm - SEC (4/4/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Mailing Address

425 S. Financial Place Ste 2700, Chicago, IL 60605

Phone number

(312) 913-4900

Established

Delaware since 06/01/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

250

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LOOP CAPITAL, LLC	OWNER
BERKELEY, STEPHEN SIDNEY	REGULATORY COUNSEL AND CCO	5616433
LUPKIN, IRA ADAM	CHIEF FINANCIAL OFFICER	4463446
REYNOLDS, JAMES JR.	CHIEF EXECUTIVE OFFICER	1162337
SULLIVAN, ANTHONY	CHIEF OPERATING OFFICER	5995264

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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Advisor Monitoring

Firm Stability Insights

Warren Daniels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Warren Daniels Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PNC CAPITAL MARKETS LLC

MORGAN STANLEY & CO. LLC

LOOP CAPITAL MARKETS LLC

GOLDMAN SACHS & CO. LLC

JRL CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/8/2000

Series 79TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1989

Series 53

Date: 7/25/2003

FINRA

Current Firm

LOOP CAPITAL MARKETS LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LOOP CAPITAL MARKETS LLC

TRUST BUT VERIFY

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