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DS

Daniel M. Schwartz

FIRST SOUTHERN
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5820451
DS

Professional summary

Daniel Marc Schwartz is a registered financial professional currently at FIRST SOUTHERN, LLC located in Miami, Florida.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2010. Daniel has worked at 3 firms and has passed the Series 82TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Marc Schwartz'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

June 2, 2025 - Present

FIRST SOUTHERN, LLC

Office #1: 777 Brickell Ave Suite 530, Miami, FL 33131
BD
CRD#: 282756
Miami, FL
Past

July 7, 2023 - October 31, 2025

FUNDAMENTAL SECURITIES

BD
CRD#: 322182
Miami, FL
Past

November 11, 2010 - March 22, 2022

INSIGNEO SECURITIES, LLC

BD
CRD#: 29249
MIAMI, FL

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
Florida
(6/2/2025)

Exams

General Industry/Product Exam
RR
Series 82TO
Date: 7/7/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 5/2/2023
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 7
Date: 11/10/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FIRST SOUTHERN, LLC
ESH CAPITAL, LLC | GLOBAL SILICON VALLEY SECURITIES LLC | FIRST SOUTHERN, LLC

CRD#: 282756 / SEC#: , 8-69733

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

Main Address
2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772
Mailing Address
2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772
Phone number
(770) 777-9373
Established
Puerto Rico since 02/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 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#
BENT, INC.SHAREHOLDER
HEEHAW INC.SHAREHOLDER
VSPR, INC.SHAREHOLDER
PAGAN MARXUACH, RAFAEL ANTONIOOWNER2863850
HAWK, WILLIAM HEATHPRESIDENT/CEO/MANAGING MEMBER2494928
JACKELS, STEPHANIE KANEFINOP/PFO5928877
JONES, SHARON DOSTERCHIEF COMPLIANCE OFFICER3124470
SFYRIS, VASILEIOS ALEXIOSMANAGING MEMBER/POO4026992

Disclosures

Regulatory Event2

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

FIRST SOUTHERN, LLC

CRD#: 282756Miami, FL 33131

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