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DD

Daniel B. Douglas

ANZ SECURITIES
New York, NY 10172-0003
Some features on this profile are disabled
CRD#: 4842250
DD

Professional summary

Daniel Brady Douglas is a registered financial professional currently at ANZ SECURITIES, INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Brady Douglas'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

October 10, 2024 - Present

ANZ SECURITIES, INC.

Office #1: 277 Park Avenue Floor 31, New York, NY 10172-0003
BD
CRD#: 36654
New York, NY
Past

September 16, 2021 - September 6, 2024

ING FINANCIAL MARKETS LLC

BD
CRD#: 28872
NEW YORK, NY
Past

September 18, 2017 - April 11, 2018

AVATAR CAPITAL GROUP LLC

BD
CRD#: 150136
Jersey City, NJ
Past

May 22, 2006 - December 22, 2016

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

October 7, 2004 - January 3, 2006

BROADPOINT DESCAP

BD
CRD#: 14997
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
New York
(10/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ANZ SECURITIES, INC.
ANZ SECURITIES, INC.

CRD#: 36654 / SEC#: , 8-47390

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

Main Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Mailing Address
277 Park Avenue Floor 31, New York, NY 10172-0003
Phone number
(212) 801-9160
Established
New York since 04/07/1994
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ANZ FUNDS PTY LIMITEDOWNER
AHARON, AMIEL LEVYPRESIDENT2573889
KARPUKHIN, ALEXANDER AFINOP6926592
MAURO, JOSEPH SCOTTCCO1837938

Disclosures

Regulatory Event3

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

ANZ SECURITIES, INC.

CRD#: 36654New York, NY 10172-0003

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