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DS

Dan J. Suzuki

SCHRODER FUND ADVISORS LLC
New York, NY 10018-3706
Some features on this profile are disabled
CRD#: 4652615
DS

Professional summary

Dan James Suzuki MR., who also goes by Dan James Nakagawa Mr., Dan Suzuki, Dan James Suzuki, is a registered financial professional currently at SCHRODER FUND ADVISORS LLC located in New York, New York.

Dan is registered as a RR (Registered Representative) and started their career in finance in 2003. Dan has worked at 3 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan James Nakagawa Mr. | Dan Suzuki | Dan James Suzuki

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 Dan James Suzuki MR.'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

November 6, 2025 - Present

SCHRODER FUND ADVISORS LLC

Office #1: 7 Bryant Park, New York, NY 10018-3706
BD
CRD#: 24129
New York, NY
Past

July 6, 2018 - October 31, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

October 28, 2003 - June 15, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
District of Columbia
(12/15/2025)
RR
Florida
(11/7/2025)
RR
Illinois
(11/7/2025)
RR
Michigan
(11/7/2025)
RR
Minnesota
(11/7/2025)
RR
New Jersey
(11/7/2025)
RR
South Carolina
(11/7/2025)
RR
Texas
(11/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 1/18/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/20/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 10/27/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SF
SCHRODER FUND ADVISORS LLC
SCHRODER CAPITAL DISTRIBUTORS INC. | SCHRODER FUND ADVISORS LLC | SCHRODER FUND ADVISORS INC.

CRD#: 24129 / SEC#: , 8-40973

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

Main Address
7 Bryant Park, New York, NY 10018-3706
Mailing Address
7 Bryant Park, New York, NY 10018-3706
Phone number
(212) 641-3889
Established
Delaware since 06/30/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC.DIRECT OWNER
FORTINO, ROBERT ANTHONYCHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL1905741
LANIER, ANGELASSISTANT SECRETARY6772355
LOWE, RICHARD JOHNBOARD MEMBER7060365
MARSHALL, DAVID JAMESAUTHORIZED SIGNATORY3070206
MAZZA, CATHERINE ANDREAPRESIDENT, CHAIR, BOARD MEMBER1444025
MUHLBAUM, CARIN FANNYSECRETARY3198495
PATNAIK, SHANAKCHIEF COMPLIANCE OFFICER6184296
SAUER, WILLIAM PETERBOARD MEMBER1622322

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

SCHRODER FUND ADVISORS LLC

CRD#: 24129New York, NY 10018-3706

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