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Daniel M. Fishbane

Some features on this profile are disabled
CRD#: 1995007
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 Mitchel Fishbane was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1989. Daniel had worked at 12 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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 14, 2008 - February 1, 2012

M.D. SASS SECURITIES, L.L.C.

BD
CRD#: 139760
NEW YORK, NY
Past

October 7, 2005 - December 5, 2007

PEQUOT CAPITAL FINANCIAL SERVICES

BD
CRD#: 135548
WESTPORT, CT
Past

April 9, 2003 - April 5, 2005

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

June 8, 2001 - April 5, 2005

SWISS RE CAPITAL MARKETS CORPORATION

BD
CRD#: 39978
NEW YORK, NY
Past

April 12, 2001 - October 19, 2001

MILLENNIUM CLEARING COMPANY, LLC

BD
CRD#: 104240
JERSEY CITY, NJ
Past

February 1, 2000 - February 6, 2001

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

January 26, 2000 - February 6, 2001

DEUTSCHE IXE, LLC

BD
CRD#: 7172
NEW YORK, NY
Past

January 1, 1999 - March 27, 2000

D. E. SHAW VALENCE, L.L.C.

BD
CRD#: 31995
NEW YORK, NY
Past

July 28, 1998 - July 23, 1999

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
NEW YORK, NY
Past

August 28, 1990 - December 31, 1999

D.E. SHAW SECURITIES, L.L.C.

BD
CRD#: 24332
NEW YORK, NY
Past

May 14, 1990 - March 27, 2000

D. E. SHAW INVESTMENTS, L.P.

BD
CRD#: 22786
NEW YORK, NY
Past

October 25, 1989 - April 9, 1990

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA

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

Principal/Supervisory Exam
RR
Series 27
Date: 10/24/1989
Financial and Operations Principal Examination

Current Firm

MS
M.D. SASS SECURITIES, L.L.C.
M.D. SASS SECURITIES, L.L.C.

CRD#: 139760 / SEC#: , 8-67246

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

Main Address
55 West 46th Street Suite 2801, New York, NY 10036-2699
Mailing Address
55 West 46th Street Suite 2801, New York, NY 10036-2699
Phone number
(212) 843-8980
Established
Delaware since 09/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SASS, MARTIN DOUGLASMEMBER411144
FRIEDMAN, SAM HARRISFINANCIAL AND OPERATIONS PRINCIPAL6716595
LIU, BOBBY NMNGENERAL SECURITIES PRINCIPAL, CHIEF LEGAL AND RISK OFFICER, CHIEF COMPLIANCE OFFICER4771903

Disclosures

Regulatory Event1

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

M.D. SASS SECURITIES, L.L.C.

CRD#: 139760

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