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DV

Daniel S. Verna

GUGGENHEIM SECURITIES
Boston, MA 02116
Some features on this profile are disabled
CRD#: 4002521
DV

Professional summary

Daniel Sean Verna is a registered financial professional currently at GUGGENHEIM SECURITIES, LLC located in Boston, Massachusetts.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1999. Daniel has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Sean Verna'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

September 5, 2019 - Present

GUGGENHEIM SECURITIES, LLC

Office #1: 222 Berkeley Street 11th Floor, Boston, MA 02116
BD
CRD#: 40638
Boston, MA
Past

May 24, 2012 - August 30, 2019

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
BOSTON, MA
Past

November 3, 2000 - February 24, 2006

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

July 27, 2000 - November 7, 2000

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

December 6, 1999 - July 7, 2000

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

November 12, 1999 - December 10, 1999

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, 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
California
(1/9/2025)
RR
Colorado
(1/9/2025)
RR
Connecticut
(8/21/2020)
RR
Florida
(1/9/2025)
RR
Georgia
(1/9/2025)
RR
Illinois
(5/30/2024)
RR
Maryland
(1/9/2025)
RR
Massachusetts
(9/5/2019)
RR
Minnesota
(1/5/2022)
RR
Missouri
(1/9/2025)
RR
New Hampshire
(10/8/2019)
RR
New York
(10/8/2019)
RR
Ohio
(1/9/2025)
RR
Pennsylvania
(1/29/2020)
RR
South Carolina
(10/8/2019)
RR
Tennessee
(1/14/2025)
RR
Texas
(1/29/2021)
RR
Vermont
(7/19/2022)
RR
Virginia
(1/9/2025)
RR
Wisconsin
(1/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/1/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/15/2013
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/23/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GS
GUGGENHEIM SECURITIES, LLC
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC

CRD#: 40638 / SEC#: , 8-49107

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

Main Address
330 Madison Avenue, New York, NY 10017
Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017
Phone number
(212) 518-9200
Established
Delaware since 01/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LINKS HOLDINGS, LLCMEMBER
GUGGENHEIM MANAGER, INC.MANAGING MEMBER
LOWERY WHILLE, TRACYCHIEF COMPLIANCE OFFICER2872693
MILLSTEIN, JAMES E.CO-CHARIMAN4270577
SCHWARTZ, ALAN DAVIDCO-CHAIRMAN416184
SCHWARTZ, ANDREW JONCHIEF FINANCIAL OFFICER5121914
TSOU, SUSANFINOP & PRINCIPAL FINANCIAL OFFICER6187001
VAN LITH, MARK ALANCHEIF EXECUTIVE OFFICER2263510
WINICK, HOWARD NEILPRINCIPAL OPERATIONS OFFICER1871689

Disclosures

Regulatory Event10

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

GUGGENHEIM SECURITIES, LLC

CRD#: 40638Boston, MA 02116

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