Daniel T. Guilfoile

OBERON SECURITIES

New York, NY 10022

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CRD#: 2202583

Professional summary

Daniel Thomas Guilfoile is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 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

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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

July 7, 2014 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022

CRD#: 132598

New York, NY

Past

July 31, 2013 - July 10, 2014

VIEWTRADE SECURITIES, INC.

CRD#: 46987

JERSEY CITY, NJ

Past

May 3, 2013 - July 1, 2013

C.K. COOPER & COMPANY, INC.

CRD#: 106578

MELVILLE, NY

Past

August 29, 2012 - May 9, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

December 23, 2010 - September 10, 2012

CORINTHIAN PARTNERS, L.L.C.

CRD#: 38912

NEW YORK, NY

Past

July 20, 2009 - December 9, 2010

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

LONDON,

Past

July 11, 2007 - July 20, 2009

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

September 6, 2006 - June 26, 2007

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

NEW YORK, NY

Past

April 11, 2003 - October 5, 2006

PALI CAPITAL, INC.

CRD#: 117783

NEW YORK, NY

Past

May 13, 2002 - February 4, 2003

SMITH POINT CAPITAL LTD

CRD#: 46042

CHAPEL HILL, NC

Past

January 13, 1992 - April 16, 2002

DOMINARI SECURITIES LLC

CRD#: 18975

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

New York
(7/7/2014)

Exams

State Security Law Exam

Series 63

Date: 6/4/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/3/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/9/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

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

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Contact information

Main Address

445 Park Avenue, Suite 4b, New York, NY 10022

Mailing Address

445 Park Avenue, Suite 4b, New York, NY 10022

Phone number

(212) 386-7080

Established

New York since 04/11/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OBERON MANAGEMENT, LLC	MEMBER
BRESLAWSKY, ADAM SCOTT	MANAGER	2522542
EPSTEIN, ELAD	FINOP, MANAGER, ACO	2731183
SCHMIDT, NICOLE ALEXANDRA	CCO, MANAGER	2686117

Red Flags

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Firm Stability Insights

Daniel T. Guilfoile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Thomas Guilfoile's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIEWTRADE SECURITIES, INC.

C.K. COOPER & COMPANY, INC.

JOHN THOMAS FINANCIAL

CORINTHIAN PARTNERS, L.L.C.

LAIDLAW & COMPANY (UK) LTD.

JOSEPH GUNNAR & CO. LLC

CAPITAL GROWTH FINANCIAL, LLC

PALI CAPITAL, INC.

SMITH POINT CAPITAL LTD

DOMINARI SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/4/2001

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/3/1992

Series 6

Date: 1/9/1992

Series 24

Date: 6/1/2002

FINRA

Current Firm

OBERON SECURITIES, LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OBERON SECURITIES, LLC

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