Daniel Sean Verna
Professional Summary
Daniel Sean Verna is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
GUGGENHEIM CAPITAL MARKETS, LLC | LINKS SECURITIES LLC | LINKS SECURITIES INC. | GUGGENHEIM SECURITIES, LLC
Contact Information
Main Address
330 Madison Avenue, New York, NY 10017Mailing Address
330 Madison Avenue 8th Floor, New York, NY 10017Phone Number
(212) 518-9200Established
Delaware since 01/29/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | — |
| LOWERY WHILLE, TRACY | CHIEF COMPLIANCE OFFICER | 2872693 |
| MILLSTEIN, JAMES E. | CO-CHARIMAN | 4270577 |
| SCHWARTZ, ALAN DAVID | CO-CHAIRMAN | 416184 |
| SCHWARTZ, ANDREW JON | CHIEF FINANCIAL OFFICER | 5121914 |
| SIRNA, KRISTINE M | CHIEF OPERATIONS PRINCIPAL & PRINCIPAL OPERATIONS OFFICER | 5971785 |
| TSOU, SUSAN | FINOP & PRINCIPAL FINANCIAL OFFICER | 6187001 |
| VAN LITH, MARK ALAN | CHIEF EXECUTIVE OFFICER | 2263510 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/9/2025)
(1/9/2025)
(8/21/2020)
(1/9/2025)
(1/9/2025)
(5/30/2024)
(1/9/2025)
(9/5/2019)
(1/5/2022)
(1/9/2025)
(10/8/2019)
(10/8/2019)
(1/9/2025)
(1/29/2020)
(10/8/2019)
(1/14/2025)
(1/29/2021)
(7/19/2022)
(1/9/2025)
(1/9/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2013SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Sean Verna's CRS (Customer Relationship Summary).
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