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DF

Daniel B. Friel

Some features on this profile are disabled
CRD#: 1727373
DF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Bruce Friel, who also goes by Daniel B Friel, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel B Friel

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

January 4, 2022 - May 2, 2024

ZEUS FINANCIAL, LLC

BD
CRD#: 18192
Charlotte, NC
Past

April 17, 2017 - December 3, 2021

NATHAN HALE CAPITAL, LLC

BD
CRD#: 123650
Huntington, NY
Past

December 5, 2013 - March 30, 2017

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
NEW YORK, NY
Past

October 24, 2011 - November 21, 2013

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
NEW YORK, NY
Past

September 8, 2009 - October 25, 2011

FIRST NEW YORK SECURITIES L.L.C.

BD
CRD#: 16362
NEW YORK, NY
Past

October 1, 2008 - September 15, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 16, 2006 - October 21, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

April 12, 2004 - January 16, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 2, 2001 - April 29, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

February 2, 1998 - January 2, 2001

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

October 5, 1987 - February 2, 1998

FLEET SECURITIES INC.

BD
CRD#: 7147
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 9/24/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/8/1993
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/1990
General Securities Principal Examination

Current Firm

ZF
ZEUS FINANCIAL, LLC
TRANS-CAP SECURITIES, INC | ZEUSFINANCIALLLC.COM | ZEUSBD.COM | ZEUS SECURITIES, INC. | ZEUS SECURITIES, INC | ZEUS FINANCIAL, LLC

CRD#: 18192 / SEC#: , 8-36214

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

Main Address
4800 T-rex Avenue Suite 100, Boca Raton, FL 33431
Mailing Address
4800 T-rex Avenue Suite 100, Boca Raton, FL 33431
Phone number
(561) 708-0700
Established
Florida since 03/17/1986
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BUTKEVITS, LETICIA VERAMEMBER6717105
ORCHID BAY FINANCIAL HOLDINGS, LLCMEMBER
ACHILLE, RALPHCCO5875142
BUTKEVITS, VINCENT WILLIAM IIICEO1818987
KUMAR, PARDEEPMANAGING DIRECTOR5214503
SHUMBERG, IVANA MARCELLAFINOP/PFO3167225
TROUSDALE, LAUREN NICOLEFINOP/POO5622407

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

ZEUS FINANCIAL, LLC

CRD#: 18192

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