Daniel M. Hochstadt

DNB MARKETS

New York, NY 10001

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CRD#: 3125670

Professional summary

Daniel Mark Hochstadt, who also goes by Dan Hochstadt, Daniel Hochstadt, is a registered financial professional currently at DNB MARKETS, INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Hochstadt | Daniel Hochstadt

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 Daniel Mark Hochstadt'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®

None

Experience

Current

January 27, 2010 - Present

DNB MARKETS, INC.

Office #1: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001Office #2: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001

CRD#: 127605

New York, NY

Past

June 18, 2009 - November 13, 2009

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

October 20, 1998 - August 25, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/14/2011)

Colorado
(7/2/2012)

Connecticut
(11/14/2011)

Illinois
(11/14/2011)

Maryland
(7/2/2012)

Massachusetts
(7/2/2012)

Minnesota
(7/2/2012)

New Jersey
(11/14/2011)

New York
(1/27/2010)

Ohio
(7/2/2012)

Pennsylvania
(7/2/2012)

Texas
(11/14/2011)

Wisconsin
(7/2/2012)

Exams

State Security Law Exam

Series 63

Date: 10/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/13/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/18/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DNB MARKETS, INC.

DNB CARNEGIE, INC. | DNB NOR MARKETS, INC. | DNB MARKETS, INC.

CRD#: 127605 / SEC#: , 8-66024

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001

Mailing Address

30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001

Phone number

(332) 600-3993

Established

New York since 01/10/2003

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DNB BANK ASA	SHAREHOLDER
ANDERSEN, VIDAR	DIRECTOR	7772839
BAKKE, HEGE SIMPSON	DIRECTOR	7772894
BEHNCKE, PETER ANDREAS	DIRECTOR	6258377
BORY, MELISSA NMN	CHIEF COMPLIANCE OFFICER	5047640
BREIVIK, THOMAS OLAV OPDAHL	DIRECTOR	7207266
FELKOWSKI, BRIAN	TREASURER	5659117
JADICK, THEODORE SPENCER JR	PRESIDENT	5847469
KIRSCHENBLATT, CHAD	FINOP	2503352
MARKOWITZ, MICHAEL ERIC	SECRETARY	7159750
OPSTAD, MORTEN ALEXANDER	DIRECTOR	6191217

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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Firm Stability Insights

Daniel M. Hochstadt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Mark Hochstadt's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/1998

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/13/1998

Series 24

Date: 7/18/2018

FINRA

Current Firm

DNB MARKETS, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DNB MARKETS, INC.

TRUST BUT VERIFY

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