Daniel C. Healy
Professional summary
Daniel Charles Healy, who also goes by Dan Healy, is a registered financial professional currently at CAPTIVEX SECURITIES LLC located in Winter Park, Florida.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 16 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Charles Healy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2025 - Present
CAPTIVEX SECURITIES LLC
Office #1: 2431 Aloma Avenue Suite 144, Winter Park, FL 32792December 1, 2016 - July 11, 2017
STERNE, AGEE & LEACH, INC.
June 28, 2010 - February 4, 2022
STONEX FINANCIAL INC.
July 8, 2009 - June 29, 2010
ACCESS SECURITIES, LLC
November 19, 2008 - June 12, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
May 3, 2005 - November 13, 2008
SRT SECURITIES LLC
September 7, 2004 - May 3, 2005
TULLETT PREBON FINANCIAL SERVICES LLC
March 29, 2004 - August 17, 2004
HILL THOMPSON MAGID & CO., INC.
August 14, 2003 - November 6, 2003
NORTH AMERICAN CLEARING, INC.
July 30, 2003 - January 12, 2004
EMPIRE FINANCIAL GROUP, INC.
April 9, 2002 - June 24, 2002
SCHONFELD SECURITIES, LLC
August 27, 2001 - February 15, 2002
STONEX FINANCIAL INC.
December 22, 2000 - November 1, 2001
INTERNATIONAL ASSETS ADVISORY, LLC
September 28, 1999 - January 3, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
November 26, 1997 - August 20, 1999
INTERNATIONAL ASSETS ADVISORY, LLC
November 1, 1995 - September 3, 1997
GFI SECURITIES LLC
June 16, 1994 - March 9, 1995
AMERIPRISE ADVISOR SERVICES, INC.
March 25, 1994 - June 1, 1994
NATIONAL FINANCIAL SERVICES LLC
September 7, 1993 - October 22, 1993
BARNETT INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/30/2025)
(10/15/2025)
(10/16/2025)
(10/16/2025)
(10/15/2025)
(11/10/2025)
(10/15/2025)
(10/22/2025)
(10/17/2025)
(10/16/2025)
(10/16/2025)
(10/23/2025)
(10/15/2025)
Exams
Series 7TO
Date: 6/1/2024
General Securities Representative ExaminationSeries 52TO
Date: 6/1/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 6/1/2024
Operations Professional ExaminationSeries 57TO
Date: 6/1/2024
Securities Trader ExamSeries 55
Date: 5/24/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
CAPTIVEX SECURITIES LLC
CRD#: 332134 / SEC#: , 8-71257
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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Company Information
CAPTIVEX SECURITIES LLC
CRD#: 332134Winter Park, FL 32792TRUST BUT VERIFY
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