DZ
Daniel T. Zamow
THINKEQUITY LLC
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 2321146
DZ
Professional summary
Daniel Thomas Zamow is a registered financial professional currently at THINKEQUITY LLC 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 17 firms and has passed the Series 66, Series 63, Series 57TO, Series 72, SIE, Series 55 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Thomas Zamow'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
September 29, 2021 - Present
THINKEQUITY LLC
Office #1: 17 State Street, 41st Floor, New York, NY 10004Office #2: 17 State Street 41st Floor, New York, NY, 10004BD
CRD#: 20996
NEW YORK, NY
Past
September 10, 2018 - September 30, 2021
SILVER LEAF PARTNERS, LLC
BD
CRD#: 126694
NEW YORK, NY
Past
May 2, 2018 - May 7, 2018
MAXIM GROUP LLC
BD
CRD#: 120708
WOODBURY, NY
Past
January 13, 2016 - September 11, 2017
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
JERICHO, NY
Past
December 18, 2015 - September 11, 2017
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
JERICHO, NY
Past
December 10, 2014 - November 16, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
EAST NORTHPORT, NY
Past
October 11, 2013 - November 25, 2014
EDWARD JONES
RIA
CRD#: 250
FARMINGDALE, NY
Past
July 18, 2013 - November 25, 2014
EDWARD JONES
BD
CRD#: 250
FARMINGDALE, NY
Past
November 1, 2005 - February 22, 2013
BREAN CAPITAL, LLC
BD
CRD#: 23723
NEW YORK, NY
Past
April 1, 2005 - March 14, 2006
BREAN MURRAY & CO., INC.
BD
CRD#: 7541
NEW YORK, NY
Past
August 9, 2001 - April 12, 2005
KAUFMAN BROS., L.P.
BD
CRD#: 37909
NEW YORK, NY
Past
May 1, 2001 - May 31, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
February 5, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
April 14, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
July 1, 1998 - April 4, 2000
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
November 6, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
BD
CRD#: 5285
NEW YORK, NY
Past
August 16, 1995 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
BD
CRD#: 31797
Past
February 5, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
BD
CRD#: 7242
Past
February 5, 1993 - October 19, 1994
LEHMAN GOVERNMENT SECURITIES INC.
BD
CRD#: 19655
Past
February 5, 1993 - October 19, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
Alabama(9/29/2021)
RR
Alaska(9/29/2021)
RR
Arizona(9/29/2021)
RR
Arkansas(9/29/2021)
RR
California(9/29/2021)
RR
Colorado(9/29/2021)
RR
Connecticut(9/29/2021)
RR
Delaware(9/29/2021)
RR
District of Columbia(9/29/2021)
RR
Florida(9/29/2021)
RR
Georgia(9/29/2021)
RR
Hawaii(9/29/2021)
RR
Idaho(9/29/2021)
RR
Illinois(9/29/2021)
RR
Indiana(9/29/2021)
RR
Iowa(9/29/2021)
RR
Kansas(9/29/2021)
RR
Kentucky(9/29/2021)
RR
Louisiana(9/29/2021)
RR
Maine(9/29/2021)
RR
Maryland(9/29/2021)
RR
Massachusetts(9/29/2021)
RR
Michigan(9/29/2021)
RR
Minnesota(9/29/2021)
RR
Mississippi(9/29/2021)
RR
Missouri(9/29/2021)
RR
Montana(9/29/2021)
RR
Nebraska(9/29/2021)
RR
Nevada(9/29/2021)
RR
New Hampshire(9/29/2021)
RR
New Jersey(9/29/2021)
RR
New Mexico(9/29/2021)
RR
New York(9/29/2021)
RR
North Carolina(9/30/2021)
RR
North Dakota(9/29/2021)
RR
Ohio(10/1/2021)
RR
Oklahoma(9/29/2021)
RR
Oregon(9/29/2021)
RR
Pennsylvania(9/29/2021)
RR
Puerto Rico(9/29/2021)
RR
Rhode Island(9/29/2021)
RR
South Carolina(9/29/2021)
RR
South Dakota(9/29/2021)
RR
Tennessee(9/29/2021)
RR
Texas(9/29/2021)
RR
Utah(9/29/2021)
RR
Vermont(9/29/2021)
RR
Virgin Islands(9/29/2021)
RR
Virginia(9/29/2021)
RR
Washington(9/29/2021)
RR
West Virginia(9/29/2021)
RR
Wisconsin(9/29/2021)
RR
Wyoming(9/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/8/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TL
THINKEQUITY LLC
FORDHAM FINANCIAL MANAGEMENT, INC. | THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
17 State Street 41st Floor, New York, NY, 10004
Mailing Address
17 State Street 41st Floor, New York, NY, 10004
Phone number
(212) 732-8500
Established
Delaware since 08/13/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
