Daniel Szuba

CLSA AMERICAS

New York, NY 10036

Some features on this profile are disabled

CRD#: 4027629

Professional summary

Daniel Szuba, who also goes by Daniel John Szuba, Dan Szuba, Daniel J Szuba, is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel John Szuba | Dan Szuba | Daniel J Szuba

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 Szuba'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

December 11, 2023 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

RIA

CRD#: 165533

New York, NY

Past

April 6, 2021 - November 15, 2023

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK, NY

Past

October 2, 2007 - May 6, 2019

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

August 9, 2000 - October 3, 2007

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

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

California
(12/11/2023)

Florida
(12/11/2023)

New York
(12/11/2023)

Texas
(12/11/2023)

Virginia
(12/11/2023)

Washington
(12/11/2023)

Exams

State Security Law Exam

Series 63

Date: 11/28/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/4/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 2/6/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/8/2000

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California

Registered Investment Advisory firm - SEC (1/1/2019 Approved)

Connecticut

Registered Investment Advisory firm - SEC (1/14/2019 Approved)

Texas

Registered Investment Advisory firm - SEC (1/28/2019 Approved)

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

1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036

Mailing Address

1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

Phone number

(212) 549-5097

Established

Delaware since 08/15/2012

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)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLSA AMERICAS HOLDINGS, INC.	MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIE	CCO	2441597
HOLUB, WILLIAM CHARLES	BOARD MEMBER, CFO-FINOP	2680290
PARK, EDWARD	BOARD MEMBER	7550990
SCHWARTZ, BRADLEY HARRIS	BOARD MEMBER, CEO	2372237
ZHANG, HUIZI	BOARD MEMBER	8008880

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

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel Szuba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

HSBC SECURITIES (USA) INC.

INSTINET, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/28/2000

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 6/4/2010

Series 55

Date: 2/6/2001

Series 7

Date: 8/8/2000

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CLSA AMERICAS, LLC

TRUST BUT VERIFY

Similar Advisors