DR
Daniel D. Rizzo
JEFFERIES LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 2804464
DR
Professional summary
Daniel Dalton Rizzo, who also goes by Rizzo Dalton Daniel Dalton, is a registered financial professional currently at JEFFERIES LLC 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 9 firms and has passed the Series 66, Series 63, SIE, Series 87, Series 86, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rizzo Dalton Daniel Dalton
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 Dalton Rizzo'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
March 2, 2015 - Present
JEFFERIES LLC
Office #1: 520 Madison Avenue, New York, NY 10022BD
CRD#: 2347
New York, NY
Past
November 28, 2005 - February 23, 2015
SIDOTI & COMPANY, LLC
BD
CRD#: 102860
NEW YORK, NY
Past
December 9, 2004 - December 5, 2005
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
NEW YORK, NY
Past
December 9, 2004 - December 5, 2005
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
September 3, 2004 - December 8, 2004
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEW YORK, NY
Past
December 4, 2003 - December 8, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
April 11, 2002 - October 8, 2003
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
NEW YORK, NY
Past
April 4, 2001 - January 14, 2002
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
December 7, 1998 - March 29, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
August 13, 1997 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 10, 1996 - March 3, 1997
ROYCE INVESTMENT GROUP, INC.
BD
CRD#: 10494
WOODBURY, NY
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
Alabama(3/2/2015)
RR
Alaska(3/2/2015)
RR
Arizona(3/2/2015)
RR
Arkansas(3/2/2015)
RR
California(3/2/2015)
RR
Colorado(3/2/2015)
RR
Connecticut(3/2/2015)
RR
Delaware(3/2/2015)
RR
District of Columbia(3/2/2015)
RR
Florida(3/2/2015)
RR
Georgia(3/2/2015)
RR
Hawaii(3/2/2015)
RR
Idaho(3/2/2015)
RR
Illinois(3/2/2015)
RR
Indiana(3/2/2015)
RR
Iowa(3/2/2015)
RR
Kansas(3/2/2015)
RR
Kentucky(3/2/2015)
RR
Louisiana(3/2/2015)
RR
Maine(3/2/2015)
RR
Maryland(3/2/2015)
RR
Massachusetts(3/2/2015)
RR
Michigan(3/2/2015)
RR
Minnesota(3/2/2015)
RR
Mississippi(3/2/2015)
RR
Missouri(3/2/2015)
RR
Montana(3/2/2015)
RR
Nebraska(3/2/2015)
RR
Nevada(3/2/2015)
RR
New Hampshire(3/2/2015)
RR
New Jersey(3/2/2015)
RR
New Mexico(3/2/2015)
RR
New York(3/2/2015)
RR
North Carolina(3/2/2015)
RR
North Dakota(3/2/2015)
RR
Ohio(3/2/2015)
RR
Oklahoma(3/2/2015)
RR
Oregon(3/5/2015)
RR
Pennsylvania(3/2/2015)
RR
Puerto Rico(3/2/2015)
RR
Rhode Island(3/2/2015)
RR
South Carolina(3/2/2015)
RR
South Dakota(3/2/2015)
RR
Tennessee(3/2/2015)
RR
Texas(3/2/2015)
RR
Utah(3/2/2015)
RR
Vermont(3/2/2015)
RR
Virgin Islands(8/23/2023)
RR
Virginia(3/2/2015)
RR
Washington(3/2/2015)
RR
West Virginia(3/2/2015)
RR
Wisconsin(3/2/2015)
RR
Wyoming(3/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JL
JEFFERIES LLC
JEFFERIES & COMPANY, INC. | JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
520 Madison Avenue, New York, NY 10022
Mailing Address
520 Madison Avenue 16th Floor, New York, NY 10022
Phone number
(212) 284-2300
Established
Delaware since 03/01/2013
Firm type
Limited Liability Company
Fiscal year end
November
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
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.
