Daniel J. Prior

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CRD#: 4129694

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel J. Prior was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2000. Daniel had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 23, 2010 - November 10, 2014

BNY ADVISORS

RIA

CRD#: 106108

KING OF PRUSSIA, PA

Past

April 23, 2010 - November 10, 2014

PERSHING LLC

CRD#: 7560

KING OF PRUSSIA, PA

Past

February 6, 2009 - January 4, 2010

NUVEEN FUND ADVISORS, LLC

RIA

CRD#: 104626

CHICAGO, IL

Past

August 17, 2005 - January 27, 2009

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

RADNOR, PA

Past

August 8, 2005 - January 4, 2010

NUVEEN SECURITIES, LLC

CRD#: 469

RADNOR, PA

Past

April 20, 2004 - August 13, 2004

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

May 8, 2003 - August 13, 2004

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

August 27, 2002 - December 31, 2002

LAZARD FRERES & CO. LLC

CRD#: 2528

NEW YORK, NY

Past

January 3, 2001 - October 3, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 28, 2000 - December 20, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

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".

BNY ADVISORS

CRD#: 106108 / SEC#: 801-52378

RIA

Registered Investment Advisory firm - (7/15/1996 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/25/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/10/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/2000

General Securities Representative Examination

Current Firm

BNY ADVISORS

CRD#: 106108 / SEC#: 801-52378

RIA

Registered Investment Advisory firm - (7/15/1996 Approved)

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Contact information

Main Address

1800 American Blvd. Suite 300 - Pod D, Pennington, NJ 08534

Mailing Address

Phone number

800-200-3033, OPTION 3

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BNY MELLON ADVISORS, INC. MANAGED360 PROGRAM WRAP FEE PROGRAM BROCHURE (3/31/2025)

BNY MELLON ADVISORS, INC. FIRM BROCHURE - INTERMEDIARY SOLUTIONS (3/31/2025)

BNY MELLON ADVISORS, INC. FIRM BROCHURE - INSTITUTIONAL & HIGH NET WORTH CLIENT SOLUTIONS (3/31/2025)

Regulatory assets under management

Total Number of Accounts	122,578
AUM (Assets Under Management)	$ 23,959,697,127

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/28/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Daniel J. Prior

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PERSHING LLC

NUVEEN FUND ADVISORS, LLC

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN SECURITIES, LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

LAZARD FRERES & CO. LLC

MORGAN STANLEY DW INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BNY ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2000

SIE

Date: 11/10/2014

Series 7

Date: 4/27/2000

Current Firm

BNY ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BNY ADVISORS

TRUST BUT VERIFY

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