DM
Daniel R. Moruzzi
KESTRA ADVISORY SERVICES
Hauppauge, NY 11788
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CRD#: 2315352
DM
Professional summary
Daniel Robert Moruzzi is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Hauppauge, New York and KESTRA INVESTMENT SERVICES, LLC located in Bay Shore, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
BN: COASTLINE WEALTH MANAGEMENT POSITION: Broker NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/24/2022 ADDRESS: 1303 Main Street, Port Jefferson NY 11777, United States DESCRIPTION: Sale/service of various Fixed Insurance products with various carriers. For Life, Disability, Long Term care Ins and Fixed Annuities BN: PROSPERITY PLANNING SOLUTIONS LLC POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 01/12/2012 ADDRESS: 1116 Cassel Ave, Bay Shore NY 11706, United States DESCRIPTION: Sale/Service of fixed Insurance products with various companies. For Life, Health, Long Term Care, Disability and Property & Casualty Ins. BN: RDDM1119 LLC POSITION: Part Owner NATURE: Real Estate INVESTMENT RELATED: Yes # OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2020 ADDRESS: 1116 Cassel Ave, Bay Shore NY 11706, United States DESCRIPTION: Manage financial and administration of RE investment BN: KESTRA ADVISORY SERVICES, LLC POSITION: Advisor NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 06/27/2022 ADDRESS: 5707 southwest pkwy, BLDG 2, suite 400, STE 467, Austin TX 78735, United States DESCRIPTION: Provide investment advice to clients for them to make an informed decision on their investments. BN: PROSPERITY PLANNING SOLUTIONS LLC POSITION: Agent NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 01/12/2012 ADDRESS: 1116 Cassel Ave, Bay Shore NY 11706, United States DESCRIPTION: Sale/Service of fixed Insurance products with various companies. For Life, Health, Long Term Care, Disability and P & C Ins. BN: TRUST WILL LOU SFERRAZZA POSITION: Nephew/Cousin Co Trustee, Agent NATURE: Legal/Attorney/Trustee/Executor INVESTMENT RELATED: No # OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/20/2024 ADDRESS: 27 Nikia Dr, Islip NY 11751, United States DESCRIPTION: Trustee for Louis and Christa, Agent for Louis and his Estate Planning documents. He asked me to help him and step in upon his death. Financial Advisor for Louis and Christa, now and going forward. My mothers sister, Aunt Mickey passed in 2018 and upon my mom and Uncle's passing. It will be up to me and my sister to help Christa. She is functional and hopefully will be able to live independently with me and my sister helping her?
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Robert Moruzzi's 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®
NoneExperience
Current
June 27, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 200 Motor Parkway Suite A7, Hauppauge, NY 11788Office #3: 381 Main Street, Bay Shore, NY 11706RIA
CRD#: 283330
Hauppauge, NY
Current
June 27, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 381 Main Street, Bay Shore, NY 11706BD
CRD#: 42046
Bay Shore, NY
Past
December 8, 2016 - June 29, 2022
EQUITY SERVICES, INC.
RIA
CRD#: 265
HAUPPAUGE, NY
Past
December 6, 2016 - June 29, 2022
EQUITY SERVICES, INC.
BD
CRD#: 265
HAUPPAUGE, NY
Past
February 6, 2014 - December 7, 2016
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HAUPPAUGE, NY
Past
January 13, 2014 - December 7, 2016
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HAUPPAUGE, NY
Past
August 14, 2012 - December 23, 2013
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
July 23, 2012 - December 23, 2013
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
BAY SHORE, NY
Past
September 9, 2005 - July 27, 2012
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
BAY SHORE, NY
Past
May 3, 1999 - July 27, 2012
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MELVILLE, NY
Past
April 26, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
September 3, 1993 - March 8, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 3, 1993 - March 8, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
February 10, 1993 - July 23, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(6/27/2022)
RR
California(8/31/2022)
RR
Colorado(6/27/2022)
RR
Connecticut(8/31/2022)
RR
Delaware(6/27/2022)
RR
Florida(6/27/2022)
RR
Massachusetts(8/31/2022)
RR
New Jersey(6/27/2022)
RR
New Mexico(8/31/2022)
RR
New York(6/27/2022)
IAR
New York(6/27/2022)
RR
North Carolina(8/31/2022)
RR
Ohio(8/3/2022)
RR
Pennsylvania(8/31/2022)
RR
South Carolina(6/27/2022)
RR
Texas(6/27/2022)
IAR
Texas(7/5/2022)
RR
Vermont(8/31/2022)
RR
Virginia(6/27/2022)
RR
Washington(8/31/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
