Daniel S. Gwertzman

CAIS CAPITAL LLC

NEW YORK, NY 10022

Some features on this profile are disabled

CRD#: 3260159

Professional summary

Daniel Scott Gwertzman, who also goes by Daniel Gwertzman, Daniel Scott Gwertzman, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Gwertzman | Daniel Scott Gwertzman

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 Scott Gwertzman's CRS (Customer Relationship Summary).

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

February 22, 2024 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022

CRD#: 154512

NEW YORK, NY

Past

April 4, 2022 - August 4, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 12, 2022 - August 4, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 22, 2019 - February 8, 2022

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

NEW YORK, NY

Past

December 27, 2018 - April 8, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 23, 2008 - June 3, 2009

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

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

New York
(2/22/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/1/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/15/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

Broker-Dealer Firm Regulated by FINRA (New York 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

527 Madison Avenue 2nd Floor, New York, NY 10022

Mailing Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Phone number

(212) 300-9350

Established

Delaware since 07/27/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL INTEGRATION SYSTEMS LLC	PARENT/OWNER
BROWN, MATTHEW CRAWFORD	CEO/MEMBER/EXECUTIVE REP.	2160159
COLLINS, MICHAEL PATRICK	CCO	5366193
KRZAK, ALEXANDER JACOB	POO	6349160
PARISE, JANICE DRU	FINOP/PFO	2338583
PREMSELAAR, MARC KLEIN	SENIOR MANAGING DIRECTOR	5395973
SHANNON, TIMOTHY BRIAN	PRESIDENT	4461906
WALKER, BRADLEY JAY	SENIOR MANAGING DIRECTOR	5000838

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel S. Gwertzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Scott Gwertzman's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2022

Series 63

Date: 2/15/2008

SIE

Date: 1/3/2019

Series 7

Date: 12/27/2018

Series 24

Date: 1/25/2019

FINRA

Current Firm

CAIS CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAIS CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors