DC
Daniel A. Claps
ARETE WEALTH ADVISORS
Jersey City, NJ 07302
Some features on this profile are disabled
CRD#: 1841040
DC
Professional summary
Daniel A Claps is a registered financial advisor currently at ARETE WEALTH ADVISORS, LLC located in Jersey City, New Jersey and ARETE WEALTH MANAGEMENT, LLC located in Jersey City, New Jersey.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 4, Series 30, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) INSURANCE AGENT; 06/2009; 0 HRS/MO; 0 HRS/MO DURING SECURITIES TRADING HRS; SELLING FIXED INSURANCE PRODUCTS.(2) HUDSONPOINT CAPITAL D/B/A/ JERSEY CITY, NJ OSJ PRINCIPAL START 8/2015 160 HRS PER MONTH...(3)DANIEL CLAPS INC PASS THROUGH FOR BILLS & TAXES, OWNER START 8-2016 ZERO HRS PER MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel A Claps'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
November 14, 2024 - Present
ARETE WEALTH ADVISORS, LLC
Office #1: 30 Montgomery Street Ste 970, Jersey City, NJ 07302RIA
CRD#: 145488
Jersey City, NJ
Current
November 14, 2024 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 30 Montgomery Street Suite 1201, Jersey City, NJ 07302BD
CRD#: 44856
Jersey City, NJ
Past
July 22, 2022 - November 26, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
JERSEY CITY, NJ
Past
March 5, 2009 - November 26, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
JERSEY CITY, NJ
Past
April 21, 2008 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
JERSEY CITY, NJ
Past
September 18, 2001 - April 25, 2008
JOSEPH STEVENS & CO., INC.
BD
CRD#: 35459
NEW YORK, NY
Past
October 12, 2000 - October 4, 2001
CELADON FINANCIAL GROUP LLC
BD
CRD#: 36538
MORRISTOWN, NJ
Past
April 18, 1995 - December 6, 1995
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 25, 1991 - September 9, 1993
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
HOLBROOK, NY
Past
June 8, 1988 - March 15, 1991
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, 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".
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)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
Alaska(11/19/2024)
RR
Arizona(11/14/2024)
RR
California(11/19/2024)
RR
Colorado(11/19/2024)
RR
Connecticut(11/14/2024)
RR
Delaware(11/19/2024)
RR
District of Columbia(11/19/2024)
RR
Florida(11/14/2024)
IAR
Florida(11/20/2024)
RR
Georgia(11/19/2024)
RR
Hawaii(11/19/2024)
RR
Idaho(11/19/2024)
RR
Illinois(11/19/2024)
RR
Indiana(11/19/2024)
RR
Iowa(11/19/2024)
RR
Kansas(11/19/2024)
RR
Kentucky(11/19/2024)
RR
Louisiana(11/19/2024)
RR
Maine(11/19/2024)
RR
Maryland(11/19/2024)
RR
Massachusetts(11/19/2024)
RR
Michigan(11/19/2024)
RR
Minnesota(11/19/2024)
RR
Mississippi(11/19/2024)
RR
Missouri(11/19/2024)
RR
Montana(11/19/2024)
RR
Nebraska(11/19/2024)
RR
Nevada(11/19/2024)
RR
New Hampshire(11/19/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/15/2024)
RR
New York(11/14/2024)
IAR
New York(11/18/2024)
RR
North Carolina(11/26/2024)
RR
North Dakota(11/19/2024)
RR
Ohio(11/19/2024)
RR
Oklahoma(11/19/2024)
RR
Oregon(11/19/2024)
RR
Pennsylvania(11/19/2024)
RR
Rhode Island(11/19/2024)
RR
South Carolina(11/19/2024)
RR
South Dakota(11/19/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
RR
Utah(11/19/2024)
RR
Virginia(11/19/2024)
RR
Washington(11/19/2024)
RR
West Virginia(11/19/2024)
RR
Wisconsin(11/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
ARETE WEALTH ADVISORS, LLC
25 FINANCIAL | WESTERN PORTFOLIO PARTNERS | WEALTH STRATEGIES ADVISORY GROUP | WEALTH SOLUTIONS 360 | THORNHILL FINANCIAL | SILVERCAP WEALTH MANAGEMENT | SHADES CREEK WEALTH ADVISORS | SECOND LEVEL CAPITAL | SARANAC ADVISORS | ROBERTS TAX AND RETIREMENT PLANNING | PROGEN FINANCIAL CONSULTING | PINNACLE FINANCIAL WEALTH MANAGEMENT | PFS WEALTH MANAGEMENT | PATHWAY FINANCIAL MANAGEMENT | OLD GROWTH CAPITAL | NTS BEARING | NARISH FINANCIAL SERVICES | MCKINLEY WEALTH MANAGEMENT LLC | MASTERWORKS.IO | MAJORS FINANCIAL | MAGNOLIA CAPITAL MANAGEMENT | LEGACY FINANCIAL | LEBLANC FINANCIAL ALLIANCE | KRM FINANCIAL SERVICES | JOHN GALT WEALTH SOLUTIONS | INSIGHT WEALTH GROUP | IJK FUNDS | HUDSONPOINT CAPITAL | HILL & HILL FINANCIAL | GOVIC CAPITAL | GOLUB CAPITAL | FREEDOM FINANCIAL WEALTH AND TAX, LLC | FINCADIA CAPITAL PARTNERS | FINANCIAL RESOURCE MANAGEMENT | DUPRE CARRIER GODCHAUX FINANCIAL SERVICES | CYGNUS CAPITAL | CURA WEALTH PARTNERS | CREATIVE HEALTH CAPITAL, LLC | COOPER TOWER WEALTH | CONNER FINANCIAL LLC | CALIBER FINANCIAL PARTNERS | AXXCESS WEALTH MANAGEMENT, LLC | AXXCESS WEALTH MANAGEMENT LLC | ARNO WEALTH MANAGEMENT, LLC | ARETE WEALTH ADVISORS, LLC | ALVERY BARTLETT GROUP | ALTERNATIVE INVESTMENT SPECIALISTS LLC
CRD#: 145488 / SEC#: 801-69827
RIA
Registered Investment Advisory firm - (1/5/2009 Approved)District of Columbia
Registered Investment Advisory firm - (1/12/2009 Terminated)Illinois
Registered Investment Advisory firm - (1/8/2008 Terminated)Maryland
Registered Investment Advisory firm - (2/10/2009 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2009 Terminated)Virginia
Registered Investment Advisory firm - (1/12/2009 Terminated)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
1115 W Fulton Market 3rd Floor, Chicago, IL 60607
Mailing Address
Phone number
(312) 940-3684
Established
Firm type
Fiscal year end
# of Employees
138
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,837 |
| AUM (Assets Under Management) | $ 3,152,167,506 |
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.
