Daniel Steven Williams Jr
Professional Summary
Daniel Steven Williams JR is a registered financial advisor currently at VANDERBILT SECURITIES, LLC located in Garden City, New York. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 6 firms and has passed the Series 63, SIE, Series 6, Series 21 and Series 25 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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
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.
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
Current Firm
RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES
Contact Information
Main Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Mailing Address
125 Froehlich Farm Blvd., Woodbury, NY 11797Phone Number
(631) 845-5100Established
New York since 12/05/2001Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
MediumFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | — |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DELSORDO, MICHELE JOI | CHIEF COMPLIANCE OFFICER | 2058108 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
Regulatory Event
5Arbitration
1Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
(5/27/2025)
(5/27/2025)
(5/27/2025)
(7/3/2025)
(5/27/2025)
(5/27/2025)
(6/23/2025)
(7/29/2025)
(5/27/2025)
(5/27/2025)
(5/27/2025)
(6/12/2025)
(5/27/2025)
(5/27/2025)
(5/27/2025)
(5/27/2025)
(3/31/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2005About the Series 6 examSeries 21 — NYSE Front Line Specialist Clerk
Passed Dec 2002Series 25 — NYSE Trading Assistant Examination
Passed Jun 1999SRO Registrations
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Daniel Steven Williams JR's CRS (Customer Relationship Summary).
Similar Advisors
PARK AVENUE SECURITIES LLC
PROTOCOL WEALTH, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RGA INVESTMENT ADVISORS, LLC