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DR

Daniel S. Ripp

BRADLEY WOODS & CO. LTD.
New York, NY 10022
Some features on this profile are disabled
CRD#: 1398164
DR

Professional summary

Daniel S Ripp, who also goes by Dan Ripp, is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, Series 79TO, SIE, Series 87, Series 86, Series 7, Series 14, Series 24, Series 27 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Ripp

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 S Ripp'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

June 21, 2001 - Present

BRADLEY WOODS & CO. LTD.

Office #1: 845 Third Ave, Suite 1703, New York, NY 10022Office #2: 845 Third Avenue Suite 1703, New York, NY 10022
BD
CRD#: 13660
New York, NY
Past

December 17, 2018 - March 25, 2020

STOCK SECURITIES LLC

BD
CRD#: 32244
STAMFORD, CT
Past

February 6, 2006 - June 11, 2009

BERKELEY CAPITAL SECURITIES, L.L.C.

BD
CRD#: 136982
SAN FRANCISCO, CA
Past

April 25, 2003 - January 20, 2004

KUHNS BROTHERS SECURITIES CORPORATION

BD
CRD#: 47331
LIME ROCK, CT
Past

April 22, 2003 - April 30, 2004

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

June 21, 2001 - February 13, 2003

CASIMIR CAPITAL L.P.

BD
CRD#: 105061
GREENWICH, CT
Past

September 9, 1997 - August 21, 1998

OSCAR GRUSS & SON INCORPORATED

BD
CRD#: 2091
NEW YORK, NY

State Registrations and Notice Filings

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

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
Connecticut
(7/30/2020)
RR
Illinois
(5/7/2021)
RR
New York
(3/5/2004)
RR
Ohio
(12/14/2021)
RR
Texas
(6/13/2012)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/8/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/2/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 9/8/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/12/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/10/2001
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/10/1997
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

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

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
Firm Size
Small
# of Employees

FINRA licenses (22 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#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

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

BRADLEY WOODS & CO. LTD.

CRD#: 13660New York, NY 10022

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