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DO

Daniel O. Otoya

PHX FINANCIAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 2208241
DO

Professional summary

Daniel Orlando Otoya is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Orlando Otoya'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

October 1, 2015 - Present

PHX FINANCIAL, INC.

Office #1: 100 Wall Street 10th Floor, New York, NY 10005
BD
CRD#: 144403
New York, NY
Past

July 2, 2014 - October 16, 2015

AEGIS CAPITAL CORP.

BD
CRD#: 15007
MELVILLE, NY
Past

April 18, 2007 - October 10, 2014

ROCKWELL SECURITIES LLC

BD
CRD#: 142483
NEW YORK, NY
Past

April 27, 2004 - November 20, 2006

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

January 9, 2001 - April 27, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

December 8, 1998 - March 13, 2001

MORGAN, TAYLOR & ASSOCIATES, INC.

BD
CRD#: 37447
MINEOLA, NY
Past

March 24, 1997 - October 22, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

December 20, 1996 - March 24, 1997

TIMECAPITAL SECURITIES CORPORATION

BD
CRD#: 6845
PORT JEFFERSON STATION, NY
Past

June 8, 1993 - November 26, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(8/13/2019)
RR
California
(8/13/2019)
RR
Colorado
(8/13/2019)
RR
Massachusetts
(12/7/2017)
RR
New Hampshire
(10/1/2015)
RR
New York
(10/1/2015)
RR
North Carolina
(8/14/2019)
RR
Utah
(8/13/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/7/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

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

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403New York, NY 10005

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