DC
Daniel J. Covatta
STIFEL, NICOLAUS & COMPANY
Baltimore, MD 21231
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CRD#: 2946754
DC
Professional summary
Daniel John Covatta is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Baltimore, Maryland and KEEFE, BRUYETTE & WOODS, INC. located in Baltimore, Maryland.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 10 firms and has passed the Series 63, Series 79TO, 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 Covatta'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
July 10, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1201 Wills Street Suite 600, Baltimore, MD 21231RIA
BD
CRD#: 793
Baltimore, MD
Current
May 2, 2014 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 1201 Wills Street 600, Baltimore, MD 21231BD
CRD#: 481
BALTIMORE, MD
Past
June 1, 2007 - March 1, 2012
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
July 26, 2002 - May 15, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 9, 2002 - May 15, 2007
UBS SECURITIES LLC
BD
CRD#: 7654
STAMFORD, CT
Past
February 2, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
February 1, 2000 - April 18, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
October 22, 1999 - February 1, 2000
HAMBRECHT & QUIST LLC
BD
CRD#: 940
SAN FRANCISCO, CA
Past
September 1, 1998 - June 17, 1999
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
January 22, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
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(7/10/2010)
RR
Alaska(7/10/2010)
RR
Arizona(7/10/2010)
RR
Arkansas(7/10/2010)
RR
California(7/10/2010)
RR
Colorado(7/10/2010)
RR
Connecticut(7/10/2010)
RR
Delaware(7/10/2010)
RR
District of Columbia(7/10/2010)
RR
Florida(7/10/2010)
RR
Georgia(7/10/2010)
RR
Hawaii(7/10/2010)
RR
Idaho(7/10/2010)
RR
Illinois(7/10/2010)
RR
Indiana(7/10/2010)
RR
Iowa(7/10/2010)
RR
Kansas(7/10/2010)
RR
Kentucky(7/10/2010)
RR
Louisiana(7/10/2010)
RR
Maine(7/10/2010)
RR
Maryland(7/10/2010)
RR
Massachusetts(7/10/2010)
RR
Michigan(7/10/2010)
RR
Minnesota(7/10/2010)
RR
Mississippi(7/10/2010)
RR
Missouri(7/10/2010)
RR
Montana(7/10/2010)
RR
Nebraska(7/10/2010)
RR
Nevada(7/10/2010)
RR
New Hampshire(7/10/2010)
RR
New Jersey(7/10/2010)
RR
New Mexico(7/10/2010)
RR
New York(7/10/2010)
RR
North Carolina(7/10/2010)
RR
North Dakota(7/10/2010)
RR
Ohio(7/10/2010)
RR
Oklahoma(7/10/2010)
RR
Oregon(7/10/2010)
RR
Pennsylvania(7/10/2010)
RR
Puerto Rico(7/10/2010)
RR
Rhode Island(7/10/2010)
RR
South Carolina(7/10/2010)
RR
South Dakota(7/10/2010)
RR
Tennessee(7/10/2010)
RR
Texas(7/10/2010)
RR
Utah(7/10/2010)
RR
Vermont(7/10/2010)
RR
Virgin Islands(5/17/2012)
RR
Virginia(7/10/2010)
RR
Washington(7/10/2010)
RR
West Virginia(7/10/2010)
RR
Wisconsin(7/10/2010)
RR
Wyoming(7/10/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/4/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 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.
