Daniel Joseph Moore
Professional Summary
Daniel Joseph Moore is a registered financial advisor currently at CJS SECURITIES, INC. located in White Plains, New York. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
CJS SECURITIES, INC.
Contact Information
Main Address
50 Main Street Suite 325, White Plains, NY 10606Mailing Address
50 Main Street Suite 325, White Plains, NY 10606Phone Number
(914) 287-7600Established
New York since 11/06/1997Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (39 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAGODA, LEE M. | RESEARCH ANALYST / SHAREHOLDER | 4986879 |
| LABICK, ROBERT JAMES | PRESIDENT | 2071988 |
| MOORE, DANIEL JOSEPH | RESEARCH ANALYST / SHAREHOLDER | 2614723 |
| SOLOW, LAWRENCE SCOTT | RESEARCH ANALYST / SHAREHOLDER | 2511217 |
| STRAUZER, CHARLES S | CHIEF COMPLIANCE OFFICER | 2266794 |
| TANWANTENG, JONATHAN E. | RESEARCH ANALYST / SHAREHOLDER | 4886441 |
| URSANER, ARNOLD | SHAREHOLDER | 451922 |
| WETCHLER, BENJAMIN MARK | FINOP AND CHIEF FINANCIAL OFFICER | 4459166 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/17/2013)
(1/17/2013)
(1/17/2013)
(1/5/2016)
(1/17/2013)
(1/16/2014)
(1/10/2019)
(1/17/2013)
(1/10/2019)
(1/17/2013)
(1/17/2013)
(1/16/2014)
(1/16/2014)
(1/17/2013)
(1/17/2013)
(11/2/2011)
(1/17/2014)
(1/16/2014)
(1/10/2019)
(1/17/2013)
(1/17/2013)
(1/17/2013)
(1/17/2013)
(1/17/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Nov 2011About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Moore's CRS (Customer Relationship Summary).
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