Daniel J. Shanahan

MODERN CAPITAL ADVISORS

Raleigh, NC

Some features on this profile are disabled

CRD#: 3277912

Professional summary

Daniel James Shanahan, who also goes by Dan Shanahan, is a registered financial advisor currently at MODERN CAPITAL ADVISORS, LLC located in Raleigh, North Carolina and MODERN CAPITAL SECURITIES INC. located in Raleigh, North Carolina.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Shanahan

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) - RIA

Click below to view Daniel James Shanahan'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

January 21, 2022 - Present

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Raleigh, NC

Current

December 5, 2019 - Present

MODERN CAPITAL SECURITIES INC.

Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617Office #2: 7155 Pearl Rd Suite 202, Middleburg Heights, OH 44130

CRD#: 130876

Raleigh, NC

Current

April 6, 2021 - Present

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

Office #1: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617Office #2: 7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617Office #3: 991 Route 22 W, Bridgewater, NJ 08807

CRD#: 130390

Raleigh, NC

Past

November 8, 2019 - December 31, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Raleigh, NC

Past

November 7, 2019 - January 6, 2020

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

RALEIGH, NC

Past

December 19, 2012 - July 9, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

RALEIGH, NC

Past

December 5, 2012 - December 11, 2012

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

RALEIGH, NC

Past

December 5, 2012 - July 9, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

RALEIGH, NC

Past

May 6, 2010 - November 9, 2012

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

RALEIGH, NC

Past

May 4, 2010 - November 9, 2012

PARK AVENUE SECURITIES LLC

CRD#: 46173

RALEIGH, NC

Past

September 2, 2005 - April 15, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

CHARLOTTE, NC

Past

October 8, 2001 - April 15, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

CHARLOTTE, NC

Past

October 25, 1999 - October 2, 2001

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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
(4/6/2021)

Colorado
(4/6/2021)

Connecticut
(1/10/2020)

Florida
(6/1/2020)

Iowa
(4/6/2021)

Missouri
(6/17/2020)

New Jersey
(4/6/2021)

New York
(6/30/2021)

North Carolina
(1/6/2020)

IAR

North Carolina
(1/21/2022)

Ohio
(4/6/2021)

Puerto Rico
(7/8/2021)

South Carolina
(4/6/2021)

South Dakota
(4/6/2021)

Texas
(4/6/2021)

Virginia
(9/28/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/1/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/22/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 9/5/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel J. Shanahan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel James Shanahan's CRS (Customer Relationship Summary).

Certified licenses

Experience

MODERN CAPITAL ADVISORS, LLC

MODERN CAPITAL SECURITIES INC.

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

STATE FARM VP MANAGEMENT CORP.

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2005

Series 63

Date: 10/21/1999

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/20/2001

Series 6

Date: 10/22/1999

Series 51

Date: 9/5/2006

Series 24

Date: 10/11/2002

FINRA

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors