AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JD

James A. Daniello

EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 3121084
JD

Professional summary

James Anthony Daniello, CFP®, who also goes by Jim Daniello, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Daniello

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) - BD

Click below to view James Anthony Daniello'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®
CFP®

Certified Financial Planner

Experience

Current

July 2, 2021 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262
BD
CRD#: 25900
Charlotte, NC
Past

December 13, 2012 - June 3, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
PITTSBURGH, PA
Past

December 13, 2012 - June 3, 2021

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
PITTSBURGH, PA
Past

January 30, 2012 - June 28, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

April 28, 2009 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

September 21, 2007 - April 23, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

January 22, 2007 - August 31, 2007

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK, NY
Past

March 1, 2005 - November 21, 2006

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
WEST DES MOINES, IA
Past

January 2, 2003 - March 3, 2005

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

October 18, 2002 - March 3, 2005

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA

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
Illinois
(7/2/2021)
RR
Indiana
(7/2/2021)
RR
Iowa
(7/2/2021)
RR
Kansas
(7/2/2021)
RR
Michigan
(7/2/2021)
RR
Minnesota
(1/28/2025)
RR
Missouri
(7/2/2021)
RR
Nebraska
(7/2/2021)
RR
North Dakota
(7/2/2021)
RR
Ohio
(7/2/2021)
RR
Pennsylvania
(7/2/2021)
RR
South Dakota
(7/2/2021)
RR
Wisconsin
(7/2/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/11/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/17/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/3/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta 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
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
DURSO, ALFRED JOSEPHCHIEF COMPLIANCE OFFICER2546771
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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.

Company Information

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900Charlotte, NC 28262

TRUST BUT VERIFY

Monitor James Daniello

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
INNOVATION PARTNERS LLC
RR
Charlotte, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics