DR
Daniel J. Rothschild
MUFG SECURITIES AMERICAS
NEW YORK, NY 10020-1001
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CRD#: 3151192
DR
Professional summary
Daniel John Rothschild, who also goes by Daniel John Rothschild, Daniel Rothschild, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel John Rothschild | Daniel Rothschild
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 Rothschild'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
December 8, 2025 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001BD
CRD#: 19685
NEW YORK, NY
Past
September 20, 2022 - December 5, 2025
BNP PARIBAS SECURITIES CORP.
BD
CRD#: 15794
NEW YORK, NY
Past
April 16, 2018 - September 23, 2022
MIZUHO SECURITIES USA LLC
BD
CRD#: 19647
NEW YORK, NY
Past
October 16, 2013 - March 20, 2018
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
November 16, 2011 - September 23, 2013
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
NEW YORK, NY
Past
December 9, 2009 - August 26, 2011
CITADEL SECURITIES LLC
BD
CRD#: 116797
NEW YORK, NY
Past
July 20, 2009 - December 1, 2009
RAFFERTY CAPITAL MARKETS, LLC
BD
CRD#: 23682
ROWAYTON, CT
Past
June 1, 2009 - July 9, 2009
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PURCHASE, NY
Past
July 1, 1999 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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(12/8/2025)
RR
Alaska(12/8/2025)
RR
Arizona(12/8/2025)
RR
Arkansas(12/8/2025)
RR
California(12/8/2025)
RR
Colorado(12/8/2025)
RR
Connecticut(12/8/2025)
RR
Delaware(12/8/2025)
RR
District of Columbia(12/8/2025)
RR
Florida(12/8/2025)
RR
Georgia(12/8/2025)
RR
Hawaii(12/8/2025)
RR
Idaho(12/8/2025)
RR
Illinois(12/8/2025)
RR
Indiana(12/8/2025)
RR
Iowa(12/8/2025)
RR
Kansas(12/8/2025)
RR
Kentucky(12/8/2025)
RR
Louisiana(12/8/2025)
RR
Maine(12/8/2025)
RR
Maryland(12/8/2025)
RR
Massachusetts(12/8/2025)
RR
Michigan(12/8/2025)
RR
Minnesota(12/8/2025)
RR
Mississippi(12/8/2025)
RR
Missouri(12/8/2025)
RR
Montana(12/8/2025)
RR
Nebraska(12/8/2025)
RR
Nevada(12/8/2025)
RR
New Hampshire(12/8/2025)
RR
New Jersey(12/8/2025)
RR
New Mexico(12/8/2025)
RR
New York(12/8/2025)
RR
North Carolina(12/8/2025)
RR
North Dakota(12/8/2025)
RR
Ohio(12/8/2025)
RR
Oklahoma(12/8/2025)
RR
Oregon(12/8/2025)
RR
Pennsylvania(12/8/2025)
RR
Rhode Island(12/8/2025)
RR
South Carolina(12/8/2025)
RR
South Dakota(12/8/2025)
RR
Tennessee(12/8/2025)
RR
Texas(12/8/2025)
RR
Utah(12/8/2025)
RR
Vermont(12/8/2025)
RR
Virginia(12/8/2025)
RR
Washington(12/8/2025)
RR
West Virginia(12/8/2025)
RR
Wisconsin(12/8/2025)
RR
Wyoming(12/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/2/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
MS
MUFG SECURITIES AMERICAS INC.
BOT SECURITIES, INC. | TOKYO-MITSUBISHI SECURITIES (USA), INC. | MUFG SECURITIES AMERICAS INC. | MUFG SECURITIES | MUFG | MITSUBISHI UFJ SECURITIES (USA), INC. | MITSUBISHI SECURITIES (USA), INC.
CRD#: 19685 / SEC#: , 8-43026
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Mailing Address
1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001
Phone number
(212) 405-7000
Established
New York since 12/08/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KOMORIYA, MASATOSHI | OUTSIDE DIRECTOR | 8066085 |
| LINDENBERG, JONATHAN BLAKE | OUTSIDE DIRECTOR | 2430463 |
| MCHUGH, DENIS TIMOTHY | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1909225 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MIYAMOTO, SHIRO | BOARD MEMBER | 8205719 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| NAKAO, TOSHIO | BOARD MEMBER | 8205734 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| THUMSER, MARK CHRISTOPHER | BOARD MEMBER | 4759143 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
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.
