Daniel P. Osullivan

THIRD SEVEN CAPITAL LLC

Palm Beach Gardens, FL 33418

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CRD#: 2179714

Professional summary

Daniel Peter Osullivan is a registered financial professional currently at THIRD SEVEN CAPITAL LLC located in Palm Beach Gardens, Florida.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 9 firms and has passed the Series 63, Series 3, 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 Peter Osullivan'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

December 2, 2021 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 4822 Northlake Blvd B3, Palm Beach Gardens, FL 33418

CRD#: 160209

Palm Beach Gardens, FL

Past

May 28, 2019 - December 1, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

CRD#: 132475

Boca Raton, FL

Past

February 29, 2012 - July 21, 2015

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

April 8, 2011 - February 16, 2012

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

May 27, 2008 - April 20, 2009

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

NEW YORK, NY

Past

May 9, 2003 - October 12, 2007

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

January 26, 2001 - March 21, 2003

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

February 26, 1993 - November 21, 2000

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

June 30, 1992 - January 21, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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

Connecticut
(1/7/2022)

Florida
(1/7/2022)

New Jersey
(1/18/2022)

New York
(2/1/2022)

Texas
(1/7/2022)

Exams

State Security Law Exam

Series 63

Date: 6/6/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/9/2016

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 7/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THIRD SEVEN CAPITAL LLC

THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

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

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Contact information

Main Address

67 Holly Hill Lane Suite 8500, New York, NY 10022

Mailing Address

67 Holly Hill Lane Suite 300c, Greenwich, CT 06830

Phone number

(917) 602-6153

Established

Delaware since 07/06/2011

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)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
THIRD SEVEN GROUP LLC	HOLDING COMPANY
DIFIORE, MONICA LISA	CCO	2966552
LEDGER, NICHOLAS MARK	CEO/CFO	6779287
SAKOL, DANIEL SCOTT	FIN OP	2813237

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 P. Osullivan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Peter Osullivan's CRS (Customer Relationship Summary).

Certified licenses

Experience

WAYPOINT DIRECT INVESTMENTS, LLC

JEFFERIES LLC

SG AMERICAS SECURITIES, LLC

UNICREDIT CAPITAL MARKETS LLC

HSBC SECURITIES (USA) INC.

CREDIT SUISSE SECURITIES (USA) LLC

GOLDMAN SACHS & CO. LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/2019

Series 3

Date: 8/9/2016

SIE

Date: 7/21/2015

Series 7

Date: 6/29/1992

FINRA

Current Firm

THIRD SEVEN CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THIRD SEVEN CAPITAL LLC

TRUST BUT VERIFY

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