Daniel J. Shapiro
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 Jeffrey Shapiro, who also goes by Danny Shapiro, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1990. Daniel had worked at 17 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2022 - July 21, 2022
CLEAR STREET LLC
August 4, 2017 - February 25, 2022
NATIONAL SECURITIES CORPORATION
June 8, 2009 - August 8, 2017
WFG INVESTMENTS, INC.
September 14, 2007 - May 16, 2008
ESPOSITO SECURITIES, LLC
May 8, 2006 - May 19, 2008
WFG INVESTMENTS, INC.
January 23, 2006 - May 8, 2006
STERNE, AGEE & LEACH, INC.
October 28, 2003 - January 20, 2006
HILLTOP SECURITIES INC.
October 1, 2002 - October 8, 2003
D.A. DAVIDSON & CO.
September 30, 1999 - July 29, 2002
FROST SECURITIES, INC.
March 2, 1998 - October 27, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
December 11, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
September 29, 1994 - July 10, 1996
JOSEPHTHAL & CO., INC.
March 17, 1994 - August 8, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
July 12, 1993 - August 4, 1994
REYNOLDS KENDRICK STRATTON, INC.
April 22, 1991 - June 22, 1993
CHELSEA STREET SECURITIES, INC.
January 28, 1991 - April 23, 1991
BLUESTONE CAPITAL CORP.
March 20, 1990 - February 1, 1991
J. W. GANT & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
CLEAR STREET LLC
CRD#: 288933 / SEC#: , 8-69972
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
