DR
Daniel A. Rudnitsky
DWS DISTRIBUTORS
New York, NY 10022
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CRD#: 4920434
DR
Professional summary
Daniel Alan Rudnitsky, who also goes by Dan Rudnitsky, Daniel Rudnitsky, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2006. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Rudnitsky | Daniel Rudnitsky
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.
Rudnitsky Consulting LLC, not investment related, Mr. Rudnitsky works for SMH Capital Investments LLC and SMH Capital Advisors LLC as an independent contractor; his duties are full-time and he serves as a portfolio manager and trader for both entities. Mr. Rudnitsky is registered with both entities.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Alan Rudnitsky'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
October 12, 2023 - Present
DWS DISTRIBUTORS, INC.
Office #1: 875 Third Avenue, New York, NY 10022BD
CRD#: 37306
New York, NY
Past
August 6, 2018 - July 26, 2023
SMH CAPITAL INVESTMENTS LLC
BD
CRD#: 24535
FORT WORTH, TX
Past
October 23, 2012 - July 26, 2023
SMH CAPITAL ADVISORS LLC
RIA
CRD#: 108344
FORT WORTH, TX
Past
September 27, 2012 - January 2, 2019
SANDERS MORRIS LLC
BD
CRD#: 20580
FORT WORTH, TX
Past
July 26, 2011 - July 18, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
January 26, 2010 - October 6, 2010
ROCKFLEET FINANCIAL SERVICES, INC
BD
CRD#: 149325
SARASOTA, FL
Past
February 15, 2007 - October 2, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
July 11, 2006 - February 1, 2007
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
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
Alabama(10/12/2023)
RR
Alaska(10/12/2023)
RR
Arizona(10/12/2023)
RR
Arkansas(10/12/2023)
RR
California(10/12/2023)
RR
Colorado(10/12/2023)
RR
Connecticut(10/12/2023)
RR
Delaware(10/12/2023)
RR
District of Columbia(10/12/2023)
RR
Florida(10/12/2023)
RR
Georgia(10/12/2023)
RR
Hawaii(10/12/2023)
RR
Idaho(10/12/2023)
RR
Illinois(10/12/2023)
RR
Indiana(10/12/2023)
RR
Iowa(10/12/2023)
RR
Kansas(10/12/2023)
RR
Kentucky(10/12/2023)
RR
Louisiana(10/12/2023)
RR
Maine(10/12/2023)
RR
Maryland(10/12/2023)
RR
Massachusetts(10/12/2023)
RR
Michigan(10/12/2023)
RR
Minnesota(10/12/2023)
RR
Mississippi(10/12/2023)
RR
Missouri(10/12/2023)
RR
Montana(10/12/2023)
RR
Nebraska(10/12/2023)
RR
Nevada(10/12/2023)
RR
New Hampshire(10/12/2023)
RR
New Jersey(10/12/2023)
RR
New Mexico(10/12/2023)
RR
New York(10/12/2023)
RR
North Carolina(10/12/2023)
RR
North Dakota(10/12/2023)
RR
Ohio(10/12/2023)
RR
Oklahoma(10/12/2023)
RR
Oregon(10/12/2023)
RR
Pennsylvania(10/12/2023)
RR
Puerto Rico(10/12/2023)
RR
Rhode Island(10/12/2023)
RR
South Carolina(10/12/2023)
RR
South Dakota(10/12/2023)
RR
Tennessee(10/12/2023)
RR
Texas(10/12/2023)
RR
Utah(10/12/2023)
RR
Vermont(10/12/2023)
RR
Virgin Islands(10/12/2023)
RR
Virginia(10/12/2023)
RR
Washington(10/12/2023)
RR
West Virginia(10/12/2023)
RR
Wisconsin(10/12/2023)
RR
Wyoming(10/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
