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DR

Daniel R. Rozzi

Some features on this profile are disabled
CRD#: 5319858
DR

Professional summary

Daniel Robert Rozzi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial advisor and started their career in finance in 2007. Prior to being barred, Daniel had worked at 5 firms, which includes ASHTON STEWART & CO. INC., METLIFE INVESTORS DISTRIBUTION COMPANY, OPPENHEIMER & CO. INC., MORGAN STANLEY, MORGAN STANLEY & CO. LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Rozzi

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 16, 2016 - March 14, 2018

ASHTON STEWART & CO., INC.

BD
CRD#: 112386
MIAMI, FL
Past

February 9, 2015 - October 16, 2015

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
CHARLOTTE, NC
Past

March 11, 2014 - January 20, 2015

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEW YORK, NY
Past

February 27, 2014 - January 20, 2015

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

June 1, 2009 - February 28, 2014

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

June 1, 2009 - February 28, 2014

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY
Past

July 16, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
NEW YORK, NY
Past

June 11, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/13/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/14/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/3/2007
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/8/2007
General Securities Representative Examination

Current Firm

AS
ASHTON STEWART & CO., INC.
ASHTON STEWART & CO., INC. | VANTAGE SECURITIES, INC. | MAS TRADE.NET INC. | MAS CAPITAL SECURITIES, INC.

CRD#: 112386 / SEC#: , 8-53239

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

Main Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Mailing Address
1395 Brickell Ave Suite 800, Miami, FL 33131
Phone number
(646) 868-5410
Established
Indiana since 09/27/1999
Firm type
Corporation
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#
ASHTON STEWART INTERNATIONAL HOLDINGS, LLCSHAREHOLDER
BURMAN, ANATOLYCEO/CCO1652002

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

ASHTON STEWART & CO., INC.

CRD#: 112386

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