Daniel S. Short

DIRECTIONAL ASSET MANAGEMENT

Arlington Heights, IL 60005

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CRD#: 2804322

Professional summary

Daniel Scott Short, who also goes by Scott Short, is a registered financial advisor currently at DIRECTIONAL ASSET MANAGEMENT, LLC located in Arlington Heights, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Daniel has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Short

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.

Daniel Short ; investment related: Yes; Location: 171 West Wing Street, no, 206 Arlington Heights IL 60005 United States; Description: Commercial real estate owner specifically the property leased to Directional Asset Management, LLC. Managing this property is less than 2 hours a month outside of trading hours. ; Position: Owner; Responsibilities: Maintenance of property; Start date: 2021-08-01;Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 2;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Scott Short'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

February 9, 2010 - Present

DIRECTIONAL ASSET MANAGEMENT, LLC

Office #1: 171 W Wing St #206, Arlington Heights, IL 60005

RIA

CRD#: 152859

Arlington Heights, IL

Past

September 20, 2018 - February 28, 2022

JVM SECURITIES, LLC

CRD#: 290327

OAK BROOK, IL

Past

October 15, 2003 - November 30, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

NAPERVILLE, IL

Past

November 30, 2000 - November 30, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

NAPERVILLE, IL

Past

June 11, 1997 - October 24, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 18, 1996 - October 28, 1996

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DIRECTIONAL ASSET MANAGEMENT, LLC

DIRECTIONAL ASSET MANAGEMENT LLC | DIRECTIONAL ASSET MANAGEMENT, LLC

CRD#: 152859 / SEC#: 801-131363

RIA

Registered Investment Advisory firm - (10/24/2024 Approved)

Illinois

Registered Investment Advisory firm - (11/4/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/9/2010)

IAR

Texas
(10/24/2024)

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.

Exams

State Security Law Exam

Series 63

Date: 10/2/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/23/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/25/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/25/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/10/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/9/2003

General Securities Sales Supervisor - Options Module Examination

Current Firm

DIRECTIONAL ASSET MANAGEMENT, LLC

DIRECTIONAL ASSET MANAGEMENT LLC | DIRECTIONAL ASSET MANAGEMENT, LLC

CRD#: 152859 / SEC#: 801-131363

RIA

Registered Investment Advisory firm - (10/24/2024 Approved)

Illinois

Registered Investment Advisory firm - (11/4/2024 Terminated)

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Contact information

Main Address

171 W Wing St #206, Arlington Heights, IL 60005

Mailing Address

Phone number

(847) 749-2312

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (9/2/2025)

Regulatory assets under management

Total Number of Accounts	86
AUM (Assets Under Management)	$ 117,900,000

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.

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Daniel S. Short

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Scott Short's CRS (Customer Relationship Summary).

Certified licenses

Experience

JVM SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PRUDENTIAL EQUITY GROUP, LLC

BARRON CHASE SECURITIES, INC.

Primary Firm SEC Registration

DIRECTIONAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/2/2018

Series 65

Date: 6/23/1997

Series 7TO

Date: 3/25/2024

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2018

Series 24

Date: 3/25/2024

Series 10

Date: 1/10/2003

Series 9

Date: 1/9/2003

Current Firm

DIRECTIONAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIRECTIONAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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