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DS

Daniel A. Salvato

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CRD#: 5808422
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Alfred Salvato, who also goes by Daniel A Salvato, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2011. Daniel had worked at 2 firms and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel A Salvato

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

October 21, 2015 - April 26, 2018

J.C. FLOWERS SECURITIES CO. LLC

BD
CRD#: 168757
NEW YORK, NY
Past

September 5, 2011 - August 16, 2013

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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

General Industry/Product Exam
RR
SIE
Date: 4/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/4/2011
Investment Banking Registered Representative Examination

Current Firm

JF
J.C. FLOWERS SECURITIES CO. LLC
J.C. FLOWERS SECURITIES CO. LLC

CRD#: 168757 / SEC#: , 8-69325

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

Main Address
1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
Mailing Address
1301 Avenue Of The Americas 16th Floor, New York, NY, 10019
Phone number
(212) 404-6800
Established
Delaware since 06/20/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FLOWERS, JAMES CHRISTOPHERCEO1050979
ARORA, VRINDAFINOP7784034
ROCKER, SALLY ANNCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL5286094

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

J.C. FLOWERS SECURITIES CO. LLC

CRD#: 168757

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