Daniel L. Schaeffer

ACADEMY SECURITIES

New York, NY 10017

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CRD#: 4549400

Professional summary

Daniel Louis Schaeffer, who also goes by Dan Schaeffer, is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Schaeffer

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) - BD

Click below to view Daniel Louis Schaeffer'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®

None

Experience

Current

March 10, 2021 - Present

ACADEMY SECURITIES, INC.

Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017

CRD#: 17433

New York, NY

Past

October 24, 2019 - February 15, 2021

INTEGRATED ADVISORS NETWORK LLC

RIA

CRD#: 171991

GREAT BARRINGTON, MA

Past

February 12, 2018 - July 1, 2019

WILLOW

RIA

CRD#: 150814

PITTSFIELD, MA

Past

November 3, 2016 - January 26, 2018

MORGAN STANLEY

RIA

CRD#: 149777

ROCHESTER, NY

Past

October 24, 2016 - January 26, 2018

MORGAN STANLEY

CRD#: 149777

ROCHESTER, NY

Past

November 2, 2011 - August 2, 2016

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

July 11, 2002 - November 11, 2008

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

State Registrations and Notice Filings

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

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

Massachusetts
(3/23/2021)

New York
(3/23/2021)

Exams

State Security Law Exam

Series 63

Date: 3/22/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/3/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ACADEMY SECURITIES, INC.

ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

622 3rd Avenue 12th Floor, New York, NY 10017

Mailing Address

622 3rd Avenue 12th Floor, New York, NY 10017

Phone number

(646) 736-3995

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MIMS, RONALD CHANCE	CHAIRMAN, CEO	5637540
GRAHAM, ANTHONY R	FINOP	4959159
GRAHAM, ANTHONY R	PRINCIPAL OPERATIONS OFFICER	4959159
GRAHAM, ANTHONY R	PRINCIPAL FINANCIAL OFFICER	4959159
GRAHAM, ANTHONY R	COO	4959159
MCCONKEY, PHILIP JOSEPH	VICE CHAIRMAN	3253139
WILCOX, SPENCER HAMILTON	PRESIDENT	5802885
BOYD, MICHAEL BARTOW	CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER	2557814

Disclosures

Regulatory Event

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 L. Schaeffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Louis Schaeffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRATED ADVISORS NETWORK LLC

WILLOW

MORGAN STANLEY

MORGAN STANLEY

MIZUHO SECURITIES USA LLC

DEUTSCHE BANK SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/22/2021

Series 66

Date: 11/3/2016

SIE

Date: 1/26/2018

Series 7

Date: 11/1/2011

FINRA

Current Firm

ACADEMY SECURITIES, INC.

Contact information

FINRA licenses (38 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ACADEMY SECURITIES, INC.

TRUST BUT VERIFY

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