DB
Daniel J. Braz
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS
Boston, MA 02114
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CRD#: 4407669
DB
Professional summary
Daniel Joseph Braz is a registered financial professional currently at STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC located in Boston, Massachusetts.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Braz'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
June 6, 2013 - Present
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Office #1: One Congress Street, Boston, MA 02114BD
CRD#: 30107
Boston, MA
Past
February 24, 2012 - November 28, 2012
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
Past
May 1, 2010 - February 13, 2012
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
RIA
CRD#: 108257
CHICAGO, IL
Past
May 1, 2010 - February 13, 2012
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
BD
CRD#: 840
BOSTON, MA
Past
March 30, 2005 - May 1, 2010
BOFA ADVISORS, LLC
RIA
CRD#: 107900
CHICAGO, IL
Past
April 6, 2004 - March 30, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
RIA
CRD#: 105842
BOSTON, MA
Past
April 15, 2002 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
August 3, 2001 - April 29, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/6/2013)
RR
Alaska(6/6/2013)
RR
Arizona(6/6/2013)
RR
Arkansas(6/6/2013)
RR
California(6/6/2013)
RR
Colorado(6/6/2013)
RR
Connecticut(6/6/2013)
RR
Delaware(6/6/2013)
RR
District of Columbia(6/6/2013)
RR
Florida(6/6/2013)
RR
Georgia(6/6/2013)
RR
Hawaii(6/6/2013)
RR
Idaho(6/6/2013)
RR
Illinois(6/6/2013)
RR
Indiana(6/6/2013)
RR
Iowa(6/6/2013)
RR
Kansas(6/6/2013)
RR
Kentucky(6/6/2013)
RR
Louisiana(6/6/2013)
RR
Maine(6/6/2013)
RR
Maryland(6/6/2013)
RR
Massachusetts(6/6/2013)
RR
Michigan(6/6/2013)
RR
Minnesota(6/6/2013)
RR
Mississippi(6/6/2013)
RR
Missouri(6/6/2013)
RR
Montana(6/6/2013)
RR
Nebraska(6/6/2013)
RR
Nevada(6/6/2013)
RR
New Hampshire(6/6/2013)
RR
New Jersey(6/6/2013)
RR
New Mexico(6/6/2013)
RR
New York(6/6/2013)
RR
North Carolina(6/6/2013)
RR
North Dakota(6/6/2013)
RR
Ohio(6/6/2013)
RR
Oklahoma(6/6/2013)
RR
Oregon(6/6/2013)
RR
Pennsylvania(6/6/2013)
RR
Puerto Rico(6/6/2013)
RR
Rhode Island(6/6/2013)
RR
South Carolina(6/6/2013)
RR
South Dakota(6/6/2013)
RR
Tennessee(6/6/2013)
RR
Texas(6/6/2013)
RR
Utah(6/6/2013)
RR
Vermont(6/6/2013)
RR
Virginia(6/6/2013)
RR
Washington(6/6/2013)
RR
West Virginia(6/6/2013)
RR
Wisconsin(6/6/2013)
RR
Wyoming(6/6/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
STATE STREET BROKERAGE SERVICES, INC. | STATE STREET GLOBAL MARKETS, LLC | STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | STATE STREET CAPITAL MARKETS, LLC
CRD#: 30107 / SEC#: , 8-44744
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Congress Street, Boston, MA 02114
Mailing Address
One Congress Street, Boston, MA 02114
Phone number
(617) 664-3619
Established
Delaware since 03/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107Boston, MA 02114TRUST BUT VERIFY
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