DS
Daniel J. Segal
AMERANT INVESTMENTS
Boca Raton, FL 33431
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CRD#: 4076125
DS
Professional summary
Daniel Jason Segal is a registered financial advisor currently at AMERANT INVESTMENTS, INC. located in Boca Raton, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7TO, Series 7 and Series 55 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
ILLUMINATING SOLUTIONS LLC - NON-INVESTMENT RELATED- 16618 Ambassador Bridge Road Delray Beach Fl 33446 - ENERGY CONSULTING OWNER 50% SINCE 05/2014 - DEVOTES 5 HOURS PER MONTH AND LESS THEN 1 DURING TRADING HOURS. PROVIDES BUSINESS MANAGEMENT AND CONSULTING.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Jason Segal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Jason Segal's 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®
NoneExperience
Current
January 9, 2023 - Present
AMERANT INVESTMENTS, INC.
Office #1: 2301 Glades Road, Boca Raton, FL 33431RIA
BD
CRD#: 117284
Boca Raton, FL
Current
February 2, 2023 - Present
AMERANT INVESTMENTS, INC.
Office #1: 2301 Glades Road, Boca Raton, FL 33431RIA
BD
CRD#: 117284
Boca Raton, FL
Past
July 17, 2017 - December 31, 2020
BENCHMARK FINANCIAL WEALTH ADVISORS LLC
RIA
CRD#: 287966
BOCA RATON, FL
Past
December 19, 2016 - July 13, 2017
PROFESSIONAL PLANNING SERVICES
RIA
CRD#: 152702
Boca Raton, FL
Past
October 3, 2016 - July 14, 2017
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
BOCA RATON, FL
Past
February 16, 2011 - August 23, 2012
CANTOR FITZGERALD & CO.
BD
CRD#: 134
NEW YORK, NY
Past
December 16, 2004 - August 13, 2009
SEG CAPITAL L.L.C.
BD
CRD#: 130673
NEW YORK, NY
Past
March 3, 2004 - June 2, 2004
SEG CAPITAL L.L.C.
BD
CRD#: 130673
NEW YORK, NY
Past
October 30, 2003 - February 3, 2004
DE TRADING, LLC
BD
CRD#: 104338
NEW YORK, NY
Past
February 2, 2000 - January 29, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
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".
AI
AMERANT INVESTMENTS, INC.
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC
CRD#: 117284 / SEC#: 801-61889, 8-53612
RIA
Registered Investment Advisory firm - SEC (8/9/2002 Approved)Florida
Registered Investment Advisory firm - SEC (8/19/2002 Terminated)New York
Registered Investment Advisory firm - SEC (8/9/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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.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
IAR
Florida(1/9/2023)
RR
Florida(2/3/2023)
IAR
Illinois(1/30/2025)
IAR
New Mexico(2/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/24/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/24/2011
Limited Representative-Equity Trader ExamSRO Registrations
RR
FINRA
Current Firm
AI
AMERANT INVESTMENTS, INC.
AMERANT INVESTMENTS, INC. | MERCANTIL INVESTMENT SERVICES, INC. | MERCANTIL INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTMENT SERVICES | MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC. | COMMERCEBANK INVESTMENTS SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC. | COMMERCEBANK INVESTMENT SERVICES, INC
CRD#: 117284 / SEC#: 801-61889, 8-53612
RIA
Registered Investment Advisory firm - SEC (8/9/2002 Approved)Florida
Registered Investment Advisory firm - SEC (8/19/2002 Terminated)New York
Registered Investment Advisory firm - SEC (8/9/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134
Mailing Address
220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134
Phone number
(305) 460-8599
Established
Delaware since 07/24/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
41
SEC notice filing (8 States and Territories)
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERANT BANK, N.A. | SHAREHOLDER | |
| CALDERON YEPEZ, SHARYMAR EGLLEE | DIRECTOR | 7809045 |
| CAPRILES, ALBERTO MANUEL | DIRECTOR | 6998024 |
| GARGANTA, ANDRES JOSE | DIRECTOR | 5483075 |
| GUERRERO, SERGIO EMILIANO MR. | COO & FINOP | 5718350 |
| IAFIGLIOLA, CARLOS | DIRECTOR | 7285620 |
| LUCAS, EMERIS DEL VALLE | BRANCH MANAGER | 5193416 |
| RESTREPO, JOSE VICENTE | CCO | 6148942 |
Regulatory assets under management
| Total Number of Accounts | 1,194 |
| AUM (Assets Under Management) | $ 688,203,169 |
Disclosures
| Regulatory Event | 1 |
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
AMERANT INVESTMENTS, INC.
CRD#: 117284Boca Raton, FL 33431TRUST BUT VERIFY
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