DF
Daniel J. Franzese
LADENBURG THALMANN & CO.
New York, NY 10019
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CRD#: 2389118
DF
Professional summary
Daniel John Franzese is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1996. Daniel has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 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 John Franzese'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
April 12, 2010 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 640 5th Avenue 4th Floor, New York, NY 10019BD
CRD#: 505
New York, NY
Past
April 25, 2007 - April 13, 2010
NOBLE CAPITAL MARKETS, INC.
BD
CRD#: 15768
NEW YORK, NY
Past
October 7, 2005 - January 31, 2007
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
February 6, 2004 - February 25, 2005
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
April 6, 1998 - February 6, 2004
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
May 20, 1996 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
BD
CRD#: 17914
MINNEAPOLIS, MN
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
California(1/17/2013)
RR
Colorado(11/17/2016)
RR
Connecticut(4/26/2010)
RR
Delaware(11/27/2018)
RR
Florida(4/4/2012)
RR
Georgia(2/13/2020)
RR
Illinois(10/13/2010)
RR
Maryland(9/16/2025)
RR
Massachusetts(2/8/2012)
RR
Michigan(11/30/2016)
RR
Minnesota(2/7/2011)
RR
Missouri(2/24/2025)
RR
New Jersey(4/15/2010)
RR
New York(4/12/2010)
RR
North Carolina(11/15/2017)
RR
Oregon(8/4/2025)
RR
Pennsylvania(11/13/2017)
RR
Texas(6/24/2011)
RR
Washington(2/13/2025)
RR
Wisconsin(6/9/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/17/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.
CRD#: 505 / SEC#: , 8-17230
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
