MD
Matthew H. Daniel
THOMPSON DAVIS & CO.
SARASOTA, FL
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CRD#: 4258203
MD
Professional summary
Matthew Henry Daniel, who also goes by Matthew H Daniel, is a registered financial advisor currently at THOMPSON DAVIS & CO., INC. located in Sarasota, Florida.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Matthew has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew H Daniel
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.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Henry Daniel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Henry Daniel'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
October 15, 2008 - Present
THOMPSON DAVIS & CO., INC.
RIA
BD
CRD#: 41353
SARASOTA, FL
Current
August 19, 2008 - Present
THOMPSON DAVIS & CO., INC.
Office #1: 9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235RIA
BD
CRD#: 41353
Richmond, VA
Past
July 11, 2002 - May 24, 2006
THOMPSON DAVIS & CO., INC.
BD
CRD#: 41353
RICHMOND, VA
Past
April 24, 2002 - July 11, 2002
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
RICHMOND, VA
Past
March 9, 2002 - July 11, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
Past
November 7, 2000 - March 28, 2001
BRANCH, CABELL & CO., INC.
BD
CRD#: 6820
RICHMOND, VA
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".
TD
THOMPSON DAVIS & CO., INC.
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
CRD#: 41353 / SEC#: 801-120472, 8-49386
RIA
Registered Investment Advisory firm - SEC (3/5/2021 Approved)Florida
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/21/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
RR
California(1/3/2011)
RR
Florida(8/19/2009)
IAR
Florida(8/19/2009)
RR
Virginia(8/19/2008)
IAR
Virginia(10/15/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TD
THOMPSON DAVIS & CO., INC.
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.
CRD#: 41353 / SEC#: 801-120472, 8-49386
RIA
Registered Investment Advisory firm - SEC (3/5/2021 Approved)Florida
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/21/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
Mailing Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
Phone number
(804) 644-6380
Established
New York since 08/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (5 States and Territories)
FINRA licenses (33 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAVIS, WILLIAM DALE JR | CEO | 2056775 |
| THALHIMER, ADAM ROBERT | DIRECTOR OF RESEARCH | 4472072 |
| THOMPSON, EDWARD HUNTER JR | CHAIRMAN | 445674 |
| ALTIZER, JUNE ELAINE | CFO/FINOP/PFO/POO | 2114981 |
| DANIEL, MATTHEW HENRY | SR. VICE PRESIDENT | 4258203 |
| WALZ, PEGGY MYERS | CCO | 2996925 |
| JONES, BRANT CHRISTOPHER | INVESTMENT ADVISOR | 5945363 |
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 206,863,938 |
Disclosures
| Regulatory Event | 2 |
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.
