DC
Daniel T. Cauceglia
AVENTURA CAPITAL MANAGEMENT
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 1490736
DC
Professional summary
Daniel Thomas Cauceglia, who also goes by Daniel Thomas Cauceulia, is a registered financial advisor currently at AVENTURA CAPITAL MANAGEMENT, LLC located in Boca Raton, Florida and AVENTURA SECURITIES, LLC located in Boca Raton, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Thomas Cauceulia
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. I AM A MEMBER OF AVENTURA HOLDINGS, LLC THE HOLDING COMPANY FOR AVENTURA SECURITIES, LLC, AVENTURA INSURANCE SERVICES, LLC AND AVENTURA CAPITAL MANAGEMENT, LLC ALL BASED IN AVENTURA FLORIDA. I DEVOTE MY FULL TIME TO ALL BUSINESSES CONCURRENTLY DURING TRADING HOURS.
2. Managing Member FlexMark Strategic Partners, LLC, General Partner of Limited Partnership (Investment Related) based in Aventura Florida. 15 Hours a week May 2018.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Thomas Cauceglia'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®
NoneExperience
Current
December 4, 2006 - Present
AVENTURA CAPITAL MANAGEMENT, LLC
Office #1: 5550 Glades Road Suite 535, Boca Raton, FL 33431RIA
CRD#: 142478
Boca Raton, FL
Current
January 19, 2007 - Present
AVENTURA SECURITIES, LLC
Office #1: 5550 Glades Road Suite 305-15, Boca Raton, FL 33431BD
CRD#: 142374
Boca Raton, FL
Past
December 4, 2006 - December 31, 2010
AVENTURA CAPITAL MANAGEMENT, LLC
RIA
CRD#: 142478
AVENTURA, FL
Past
March 2, 2005 - December 6, 2006
NPA ASSET MANAGEMENT, LLC
RIA
CRD#: 131534
MONTVALE , NJ
Past
April 18, 2002 - December 5, 2006
NATIONWIDE PLANNING ASSOCIATES INC.
BD
CRD#: 31029
MONTVALE, NJ
Past
February 4, 1998 - December 23, 1998
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
July 24, 1997 - January 15, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AC
AVENTURA CAPITAL MANAGEMENT, LLC
AVENTURA CAPITAL MANAGEMENT, LLC
CRD#: 142478 / SEC#: 801-67322
RIA
Registered Investment Advisory firm - (11/29/2006 Approved)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.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
Arkansas(12/4/2019)
RR
California(1/15/2009)
IAR
California(1/6/2011)
RR
Colorado(9/22/2023)
RR
Connecticut(6/6/2007)
IAR
Connecticut(1/10/2011)
IAR
Florida(12/4/2006)
RR
Florida(1/23/2007)
RR
Georgia(4/25/2025)
RR
Illinois(6/8/2007)
IAR
Illinois(1/5/2011)
RR
Indiana(9/6/2023)
RR
Iowa(1/2/2009)
IAR
Iowa(1/16/2018)
RR
Maine(2/13/2009)
IAR
Maine(1/6/2011)
IAR
Maryland(1/11/2011)
RR
Maryland(1/25/2011)
RR
Massachusetts(2/2/2007)
IAR
Massachusetts(1/10/2011)
RR
Michigan(9/25/2023)
RR
Nevada(3/29/2022)
RR
New Hampshire(2/2/2009)
IAR
New Hampshire(1/26/2011)
RR
New Jersey(2/1/2007)
IAR
New Jersey(1/5/2011)
RR
New York(1/25/2007)
RR
Oregon(9/19/2023)
RR
Pennsylvania(1/29/2007)
IAR
Pennsylvania(1/18/2011)
RR
Rhode Island(2/23/2009)
RR
South Carolina(9/6/2023)
RR
Texas(6/29/2021)
RR
Utah(1/19/2007)
IAR
Utah(1/11/2011)
IAR
Vermont(9/6/2016)
RR
Virginia(1/2/2009)
RR
Wisconsin(7/29/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/28/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AVENTURA CAPITAL MANAGEMENT, LLC
AVENTURA CAPITAL MANAGEMENT, LLC
CRD#: 142478 / SEC#: 801-67322
RIA
Registered Investment Advisory firm - (11/29/2006 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5550 Glades Road Suite 535, Boca Raton, FL 33431
Mailing Address
Phone number
(305) 466-0467
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 248 |
| AUM (Assets Under Management) | $ 57,829,202 |
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
AVENTURA CAPITAL MANAGEMENT, LLC
CRD#: 142478Boca Raton, FL 33431TRUST BUT VERIFY
Monitor Daniel Cauceglia
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
