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DW

Daniel G. Wolpert

ARES MANAGEMENT CAPITAL MARKETS LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 5385657
DW

Professional summary

Daniel G Wolpert, who also goes by Daniel Wolpert, Dan Wolpert, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2008. Daniel has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 87, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Wolpert | Dan Wolpert

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 G Wolpert'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

March 11, 2025 - Present

ARES MANAGEMENT CAPITAL MARKETS LLC

Office #1: 245 Park Avenue - 44th Floor, New York, NY 10167
BD
CRD#: 166219
NEW YORK, NY
Past

August 19, 2020 - November 15, 2024

SIXTH STREET BD, LLC

BD
CRD#: 281933
New York, NY
Past

June 24, 2016 - August 3, 2020

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

May 24, 2013 - June 7, 2016

CLSA AMERICAS, LLC

BD
CRD#: 165533
NEW YORK, NY
Past

May 9, 2013 - September 6, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

January 16, 2013 - May 8, 2013

GHS TRADING LLC

BD
CRD#: 158195
NEW YORK, NY
Past

September 24, 2012 - May 8, 2013

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

May 20, 2011 - September 19, 2012

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

April 18, 2011 - September 19, 2012

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

November 12, 2008 - April 15, 2011

CANTOR FITZGERALD & CO.

BD
CRD#: 134
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
(3/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 8/11/2015
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/11/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219 / SEC#: , 8-69194

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

Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 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#
ARES MANAGEMENT LLCMEMBER130074
BRAUN, HEATHER GROSSMANCOO3141608
INFANGER, MARK CHARLESCFO AND FINOP2369723
MAGNER, BRIANCCO3069172
PAWLOWSKI, ANTHONY JOHNPRESIDENT4337887

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

ARES MANAGEMENT CAPITAL MARKETS LLC

CRD#: 166219New York, NY 10167

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