Daniel P. Charles

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CRD#: 1879539

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 Patrick Charles, who also goes by Dan Charles, Daniel Partrick Charles, Daniel Charles, Danny Charles, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Charles | Daniel Partrick Charles | Daniel Charles | Danny Charles

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

September 17, 2019 - August 1, 2025

COHEN & STEERS SECURITIES, LLC

CRD#: 29258

NEW YORK, NY

Past

March 30, 2010 - December 31, 2018

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

September 14, 2005 - March 12, 2010

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

August 20, 2005 - September 8, 2005

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

July 8, 2005 - August 20, 2005

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

March 24, 2004 - January 19, 2005

BACAP DISTRIBUTORS, LLC

CRD#: 46088

CHARLOTTE, NC

Past

October 15, 1993 - April 15, 2002

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

July 22, 1991 - October 15, 1993

AELTUS CAPITAL, INC

CRD#: 24928

HARTFORD, CT

Past

March 27, 1991 - October 15, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

April 25, 1989 - February 15, 1991

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

Past

February 14, 1989 - April 29, 1989

FFP SECURITIES, INC.

CRD#: 16337

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

Series 63

Date: 11/30/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/11/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/25/1991

Investment Company Products/Variable Contracts Principal Examination

Current Firm

COHEN & STEERS SECURITIES, LLC

COHEN & STEERS SECURITIES, INC. | COHEN & STEERS SECURITIES, LLC

CRD#: 29258 / SEC#: , 8-44123

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

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Contact information

Main Address

1166 Avenue Of The Americas 30th Floor, New York, NY 10036

Mailing Address

1166 Avenue Of The Americas 30th Floor, New York, NY 10036

Phone number

(212) 832-3232

Established

Delaware since 11/13/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COHEN & STEERS CAPITAL MANAGEMENT INC.	SHAREHOLDER	106266
DERECHIN, ADAM M	VICE PRESIDENT	2531374
MURPHY, STEPHEN THOMAS	CHIEF COMPLIANCE OFFICER	2340624
POLI, FRANCIS CASIMIR	PRESIDENT, DIRECTOR	1628917
TEUFEL, FREDERICK CHARLES	FINOP, PFO AND POO	2092408

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.

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Firm Stability Insights

Daniel P. Charles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILLIAM BLAIR

JANUS HENDERSON DISTRIBUTORS US LLC

BOFA DISTRIBUTORS, INC.

BACAP DISTRIBUTORS, LLC

BACAP DISTRIBUTORS, LLC

VOYA FINANCIAL PARTNERS, LLC

AELTUS CAPITAL, INC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

AETNA LIFE INSURANCE AND ANNUITY COMPANY

FFP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/30/1988

SIE

Date: 10/1/2018

Series 7

Date: 2/11/1989

Series 24

Date: 7/9/2008

Series 26

Date: 11/25/1991

Current Firm

COHEN & STEERS SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

COHEN & STEERS SECURITIES, LLC

TRUST BUT VERIFY

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