Daniel J. Obrien

BELLE HAVEN INVESTMENTS, L.P.

Rye Brook, NY 10573-1301

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CRD#: 2085662

Professional summary

Daniel James Obrien is a registered financial professional currently at BELLE HAVEN INVESTMENTS, L.P. located in Rye Brook, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Daniel James Obrien's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 12, 2015 - Present

BELLE HAVEN INVESTMENTS, L.P.

Office #1: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301Office #2: 800 Westchester Avenue Suite N607, Rye Brook, NY 10573

RIA

CRD#: 29278

Rye Brook, NY

Past

May 1, 2012 - February 3, 2014

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

June 22, 2007 - April 19, 2012

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

May 31, 2002 - December 31, 2003

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

CHICAGO, IL

Past

May 31, 2002 - April 2, 2007

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

March 12, 2002 - April 11, 2007

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

January 5, 2000 - March 8, 2002

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

June 29, 1998 - June 1, 1999

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Past

September 8, 1995 - July 10, 1998

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

December 8, 1993 - September 22, 1995

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

May 14, 1992 - August 10, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

February 8, 1991 - June 9, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

BELLE HAVEN INVESTMENTS, L.P.

BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS

CRD#: 29278 / SEC#: 801-62290, 8-44222

RIA

Registered Investment Advisory firm - SEC (1/26/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

New York

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(8/12/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/8/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/5/1991

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: 2/4/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BELLE HAVEN INVESTMENTS, L.P.

BELL HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, L.P. | BELLE HAVEN INVESTMENTS, INC. | BELLE HAVEN INVESTMENTS

CRD#: 29278 / SEC#: 801-62290, 8-44222

RIA

Registered Investment Advisory firm - SEC (1/26/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Maryland

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

New York

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (2/16/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

800 Westchester Avenue Suite N607, Rye Brook, NY 10573-1301

Mailing Address

800 Westchester Avenue Suite N607, Rye Brook, NY 10573

Phone number

(914) 816-4633

Established

Connecticut since 03/13/2001

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BELLE HAVEN INVESTMENTS, L.P. - FORM ADV PART 2A - MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
DALTON, JOSEPH MATTHEW	LIMITED PARTNER,CEO	1661099
BELLE HAVEN CAPITAL MANAGEMENT, INC.	GENERAL PARTNER
CHAFFEE, MELISSA ANN	CHIEF COMPLIANCE OFFICER	4553629
CHAPMAN, LAURA JEAN	CHIEF OPERATING OFFICER	5599643
MENNA, MICHAEL DOMINICK	CHIEF FINANCIAL OFFICER/FINOP	7291695

Regulatory assets under management

Total Number of Accounts	24,433
AUM (Assets Under Management)	$ 20,380,202,747

Disclosures

Regulatory Event

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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Daniel J. Obrien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel James Obrien's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN FUND ADVISORS, LLC

NUVEEN SECURITIES, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

LEERINK PARTNERS LLC

TUCKER ANTHONY INCORPORATED

WS GRIFFITH SECURITIES, INC.

GRUNTAL & CO., L.L.C.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

BELLE HAVEN INVESTMENTS, L.P.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/8/1996

Series 63

Date: 3/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 2/4/1991

FINRA

Current Firm

BELLE HAVEN INVESTMENTS, L.P.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (34 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BELLE HAVEN INVESTMENTS, L.P.

TRUST BUT VERIFY

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