John W. Daniel

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Atlanta, GA

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CRD#: 4355000

Professional summary

John William Daniel, who also goes by John W Daniel, John William Daniel, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Atlanta, Georgia and NYLIFE DISTRIBUTORS LLC located in Tulsa, Oklahoma.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. John has worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John W Daniel | John William 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John William Daniel'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

January 9, 2024 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Atlanta, GA

Current

January 8, 2024 - Present

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

Tulsa, OK

Past

September 25, 2019 - January 5, 2024

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

ATLANTA, GA

Past

September 24, 2019 - January 5, 2024

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

ATLANTA, GA

Past

January 3, 2019 - September 9, 2019

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

November 19, 2018 - January 4, 2019

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

ATLANTA, GA

Past

June 1, 2017 - January 4, 2019

VP DISTRIBUTORS LLC

CRD#: 3036

ATLANTA, GA

Past

February 24, 2014 - November 19, 2018

VIRTUS CAPITAL ADVISERS, LLC

RIA

CRD#: 107346

ATLANTA, GA

Past

February 20, 2014 - June 1, 2017

FORESIDE ASSOCIATES, LLC

CRD#: 13494

ATLANTA, GA

Past

November 5, 2013 - February 11, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MARIETTA, GA

Past

September 13, 2013 - February 11, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MARIETTA, GA

Past

December 5, 2011 - March 1, 2012

FORESIDE ASSOCIATES, LLC

CRD#: 13494

ATLANTA, GA

Past

January 14, 2004 - May 7, 2007

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

February 12, 2003 - November 14, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ATLANTA, GA

Past

December 13, 2001 - November 14, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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.

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

District of Columbia
(1/8/2024)

Florida
(1/8/2024)

Georgia
(1/8/2024)

IAR

Georgia
(1/9/2024)

North Carolina
(1/8/2024)

South Carolina
(1/8/2024)

Virginia
(1/8/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/5/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2011

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 1/18/2002

Futures Managed Funds Examination

SRO Registrations

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA

Registered Investment Advisory firm - (3/20/2000 Approved)

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Contact information

Main Address

51 Madison Avenue, New York, NY 10010

Mailing Address

Phone number

(888) 474-7725

Established

Firm type

Fiscal year end

# of Employees

349

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts	1,047
AUM (Assets Under Management)	$ 113,162,976,263

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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Firm Stability Insights

John W. Daniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NYLIFE DISTRIBUTORS LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

FRED ALGER & COMPANY, LLC

VIRTUS INVESTMENT ADVISERS, LLC

VP DISTRIBUTORS LLC

VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FORESIDE ASSOCIATES, LLC

ENTERPRISE FUND DISTRIBUTORS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/5/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/4/2011

Series 31

Date: 1/18/2002

FINRA

Current Firm

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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