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Daniel J. Navatta

SG AMERICAS SECURITIES
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 5436121
DN

Professional summary

Daniel J Navatta II, who also goes by Daniel J Navatta II, is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2016. Daniel has worked at 4 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel J Navatta Ii

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 J Navatta II'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

September 23, 2025 - Present

SG AMERICAS SECURITIES, LLC

Office #1: 245 Park Avenue, New York, NY 10167
BD
CRD#: 128351
NEW YORK, NY
Past

August 21, 2024 - September 26, 2025

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
Jersey City, NJ
Past

May 2, 2016 - August 27, 2024

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

May 2, 2016 - August 27, 2024

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/2/2016
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SG AMERICAS SECURITIES, LLC
SG AMERICAS SECURITIES, LLC

CRD#: 128351 / SEC#: , 8-66125

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

Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 278-6000
Established
Delaware since 08/08/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SG AMERICAS SECURITIES HOLDINGS, LLCDIRECT OWNER
CARTIER, SYLVAINCO - CHIEF EXECUTIVE OFFICER6390499
GERLESITS, WILLIAM RCHIEF COMPLIANCE OFFICER5457051
O'KEEFE, THOMAS WILLIAMPRINCIPAL FINANCIAL OFFICER3054453
VAN HAUWERMEIREN, GUIDO MARIACO - CHIEF EXECUTIVE OFFICER5974025
WALSH, MICHAEL PATRICKPRINCIPAL OPERATIONS OFFICER1060871
ZIELINSKI, GREGORY WCHIEF OPERATING OFFICER2384242

Disclosures

Regulatory Event114
Criminal1
Arbitration1

Red Flags

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Company Information

SG AMERICAS SECURITIES, LLC

CRD#: 128351New York, NY 10167

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