Daniel J. Petrie

SERAPHIM CAPITAL MANAGEMENT

Morristown, NJ

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CRD#: 1543568

Professional summary

Daniel John Petrie JR, who also goes by Daniel John Petrie, is a registered financial advisor currently at SERAPHIM CAPITAL MANAGEMENT, LLC located in Morristown, New Jersey.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 24, Series 8 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel John Petrie

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) - RIA

Click below to view Daniel John Petrie 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

February 15, 2017 - Present

SERAPHIM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 170976

Morristown, NJ

Past

January 6, 2023 - February 3, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

Morristown, NJ

Past

December 28, 2015 - December 31, 2016

SERAPHIM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 170976

Morristown, NJ

Past

March 12, 2009 - November 11, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MORRISTOWN, NJ

Past

February 26, 2009 - November 11, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MORRISTOWN, NJ

Past

September 29, 2006 - January 25, 2008

SEAMOUNT EXECUTION SERVICES LLC

CRD#: 139242

NEW YORK, NY

Past

January 3, 2005 - October 26, 2005

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

April 2, 2003 - October 28, 2004

PUNK, ZIEGEL & COMPANY, L.P.

CRD#: 26174

NEW YORK, NY

Past

March 20, 1991 - July 13, 2001

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

June 21, 1990 - February 12, 1991

FIRST INTERREGIONAL EQUITY CORP.

CRD#: 7486

MILBURN, NJ

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".

SERAPHIM CAPITAL MANAGEMENT, LLC

CRD#: 170976 / SEC#: 801-120902

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/28/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/15/2017)

IAR

New Jersey
(2/23/2017)

IAR

New York
(7/31/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/3/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/13/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/16/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/3/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/15/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 12/11/1992

Registered Options Principal Examination

Current Firm

SERAPHIM CAPITAL MANAGEMENT, LLC

CRD#: 170976 / SEC#: 801-120902

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/28/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2021 Terminated)

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Contact information

Main Address

Blauvelt, NY

Mailing Address

Phone number

(720) 406-7790

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A SERAPHIM AND PART 2B MORRIS LAM PETRIE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	179
AUM (Assets Under Management)	$ 53,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Daniel J. Petrie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel John Petrie JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

SERAPHIM CAPITAL MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SEAMOUNT EXECUTION SERVICES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

PUNK, ZIEGEL & COMPANY, L.P.

LABRANCHE FINANCIAL SERVICES, LLC

FIRST INTERREGIONAL EQUITY CORP.

Primary Firm SEC Registration

SERAPHIM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2009

Series 63

Date: 7/16/1990

SIE

Date: 11/11/2015

Series 55

Date: 4/13/2000

Series 7

Date: 6/16/1990

Series 24

Date: 5/3/1993

Series 8

Date: 3/15/1993

Series 4

Date: 12/11/1992

Current Firm

SERAPHIM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SERAPHIM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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