Thomas F. Daniel

J.H. DARBIE & CO.

Florham Park, NJ 07932

Some features on this profile are disabled

CRD#: 2557359

Professional summary

Thomas Frederick Daniel is a registered financial advisor currently at J.H. DARBIE & CO., INC. located in Florham Park, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 53, Series 27 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frederick Daniel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Frederick Daniel's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 15, 2023 - Present

J.H. DARBIE & CO., INC.

Office #1: 215 Ridgedale Ave Ste 104, Florham Park, NJ 07932

RIA

CRD#: 43520

Florham Park, NJ

Current

May 17, 2023 - Present

J.H. DARBIE & CO., INC.

Office #1: 215 Ridgedale Ave Ste 104, Florham Park, NJ 07932

RIA

CRD#: 43520

Florham Park, NJ

Past

January 2, 2003 - May 18, 2023

KENNETH, JEROME & CO.,INC.

CRD#: 15541

FLORHAM PARK, NJ

Past

September 9, 2002 - December 9, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SHORT HILLS, NJ

Past

July 31, 1997 - December 9, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 15, 1994 - August 4, 1997

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

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.

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

Colorado
(5/17/2023)

Florida
(5/17/2023)

New Jersey
(5/17/2023)

IAR

New Jersey
(6/15/2023)

New York
(5/17/2023)

IAR

New York
(6/15/2023)

North Carolina
(12/1/2023)

Pennsylvania
(5/17/2023)

South Carolina
(5/17/2023)

Texas
(4/22/2024)

Virginia
(5/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/14/2023

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/11/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 5/17/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/21/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/14/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 2/15/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 2/13/2006

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2005

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona

Registered Investment Advisory firm - SEC (7/3/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

New York

Registered Investment Advisory firm - SEC (1/7/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

48 Wall St., Suite 1206. Suite 1206, New York, NY 10005

Mailing Address

48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005

Phone number

(212) 269-7271

Established

New York since 06/03/1997

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
RABINOWITZ, ROBERT Y	PRES, GSP	2821450
ANDERSON, ERIK JASON	CHIEF COMPLIANCE OFFICER	2686661
MATSIS, MICHAEL A	AMLCO	1455158
NAVEED, HASNAIN	FINOP, POO, PFO	7004810

Disclosures

Regulatory Event	10
Civil Event	1
Arbitration	1

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.

Similar Advisors

Sungmin Ryan Park

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Florham Park, NJ

Shivam Mittal

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Summit, NJ

Theresa Henry

PFS INVESTMENTS INC.

East Rutherford, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Thomas F. Daniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Frederick Daniel's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Thomas Frederick Daniel's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.H. DARBIE & CO., INC.

KENNETH, JEROME & CO.,INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

GKN SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/14/2023

Series 65

Date: 9/11/1997

Series 63

Date: 11/21/1994

Series 52TO

Date: 5/17/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 8/21/1997

Series 7

Date: 11/14/1994

Series 53

Date: 2/15/2007

Series 27

Date: 2/13/2006

Series 24

Date: 3/1/2005

FINRA

Nasdaq Stock Market

Current Firm

J.H. DARBIE & CO., INC.

Contact information

FINRA licenses (46 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

J.H. DARBIE & CO., INC.

TRUST BUT VERIFY

Similar Advisors