Daniel James Donovan
Professional Summary
Daniel James Donovan was a registered financial advisor. Daniel was a previously registered financial professional and started their career in finance 1991 - 2022. Daniel had worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 50, Series 7, Series 14, Series 24, Series 27 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
CAPLIGHT MARKETS LLC | PROSPERO CAPITAL LLC
Contact Information
Main Address
531 Howard Street 4th Floor, San Francisco, CA 94105Mailing Address
531 Howard Street 4th Floor, San Francisco, CA 94105Phone Number
(917) 456-2371Established
Connecticut since 01/14/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Aug 2017About the Series 50 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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