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Daniel P. Carney

BROOKWOOD SECURITIES PARTNERS
Beverly, MA 01915
Some features on this profile are disabled
CRD#: 4924271
DC

Professional summary

Daniel Patrick Carney is a registered financial professional currently at BROOKWOOD SECURITIES PARTNERS, LLC located in Beverly, Massachusetts.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Patrick Carney's CRS (Customer Relationship Summary).
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

August 11, 2022 - Present

BROOKWOOD SECURITIES PARTNERS, LLC

Office #1: 138 Conant Street, Beverly, MA 01915
BD
CRD#: 35187
Beverly, MA
Past

March 17, 2009 - October 19, 2009

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

February 24, 2006 - April 4, 2007

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

June 13, 2005 - January 20, 2006

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

April 13, 2005 - June 13, 2005

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA

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
Arizona
(2/26/2025)
RR
California
(8/25/2022)
RR
Colorado
(8/25/2022)
RR
Connecticut
(8/25/2022)
RR
Delaware
(8/25/2022)
RR
District of Columbia
(8/25/2022)
RR
Florida
(8/25/2022)
RR
Georgia
(8/25/2022)
RR
Hawaii
(8/25/2022)
RR
Idaho
(10/11/2023)
RR
Illinois
(8/25/2022)
RR
Indiana
(8/25/2022)
RR
Kentucky
(8/25/2022)
RR
Louisiana
(8/25/2022)
RR
Maine
(8/25/2022)
RR
Maryland
(8/25/2022)
RR
Massachusetts
(8/19/2022)
RR
Michigan
(8/25/2022)
RR
Minnesota
(8/25/2022)
RR
Missouri
(8/25/2022)
RR
Montana
(8/25/2022)
RR
Nevada
(8/25/2022)
RR
New Jersey
(8/25/2022)
RR
New York
(8/25/2022)
RR
North Carolina
(8/25/2022)
RR
Ohio
(8/26/2022)
RR
Oklahoma
(8/25/2022)
RR
Pennsylvania
(8/25/2022)
RR
Rhode Island
(8/25/2022)
RR
South Carolina
(8/25/2022)
RR
South Dakota
(8/25/2022)
RR
Tennessee
(8/25/2022)
RR
Texas
(8/25/2022)
RR
Vermont
(8/25/2022)
RR
Virginia
(8/25/2022)
RR
Washington
(8/25/2022)
RR
Wisconsin
(8/25/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/24/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/12/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROOKWOOD SECURITIES PARTNERS, LLC
BROOKWOOD SECURITIES PARTNERS, L.P. | BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187 / SEC#: , 8-46627

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

Main Address
138 Conant Street, Beverly, MA 01915
Mailing Address
138 Conant Street, Beverly, MA 01915
Phone number
(978) 720-7500
Established
Delaware since 05/17/1993
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BROOKWOOD FINANCIAL PARTNERS, LLCSOLE MEMBER
AYLES, ERICKA LEIGHFINOP6530897
STROUSS, MARCIA GREILICHCHIEF COMPLIANCE OFFICER1365779
TRKLA, THOMAS NICHOLASCHAIRMAN, CHIEF EXECUTIVE OFFICER1238366

Disclosures

Regulatory Event1

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

BROOKWOOD SECURITIES PARTNERS, LLC

CRD#: 35187Beverly, MA 01915

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