Daniel W. Mak

SCOTIA CAPITAL (USA)

NEW YORK, NY 10281

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CRD#: 5682186

Professional summary

Daniel Waichung Mak, who also goes by Mak Waichung Daniel, Mak Daniel, is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mak Waichung Daniel | Mak Daniel

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 Waichung Mak'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

January 26, 2021 - Present

SCOTIA CAPITAL (USA) INC.

Office #1: 250 Vesey Street, New York, NY 10281

CRD#: 2739

NEW YORK, NY

Past

July 10, 2015 - January 11, 2021

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

May 29, 2013 - June 19, 2015

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(1/26/2021)

Exams

State Security Law Exam

Series 63

Date: 7/1/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/28/2013

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

SCOTIA CAPITAL (USA) INC.

CRD#: 2739 / SEC#: , 8-3716

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

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Contact information

Main Address

250 Vesey Street, New York, NY 10281

Mailing Address

250 Vesey Street, New York, NY 10281

Phone number

(212) 225-6500

Established

New York since 11/25/1939

Firm type

Corporation

Fiscal year end

October

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SCOTIA HOLDINGS (USA) LLC	SOLE SHAREHOLDER
ATTIA, MONCEF	BOARD MEMBER	4852031
DUSSEAU, SEAN MICHAEL	CHIEF OPERATING OFFICER & BOARD MEMBER	6628832
GALANTE, ANTHONY JAMES	CHIEF FINANCIAL OFFICER	2168905
GEORGALAS, ANDREAS ZANIS	CHIEF LEGAL OFFICER	4769326
GOHMAN, BENJAMIN E	BOARD MEMBER	4835406
KAUSHIK, KSHAMTA	CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER	7523252
KHAN, ARIF KAMAL	CHIEF COMPLIANCE OFFICER	5011278
NATHANSON, GARY	BOARD MEMBER	4825746
PATEL, HEMANG	CHIEF OPERATIONS OFFICER	8032984
WANG, ELSA YI-HUI	BOARD MEMBER	5984605
WILSON, MARC-ANDRE	BOARD MEMBER	6455732

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Daniel W. Mak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Waichung Mak's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

BNP PARIBAS SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/28/2013

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE Texas, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

SCOTIA CAPITAL (USA) INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SCOTIA CAPITAL (USA) INC.

TRUST BUT VERIFY

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