Richard M. Daniels

VIRTUS CAPITAL MARKETS LLC

Stamford, CT 06902

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CRD#: 5877964

Professional summary

Richard Matthew Daniels, who also goes by Rick Daniels, Ricky Daniels, is a registered financial professional currently at VIRTUS CAPITAL MARKETS LLC located in Stamford, Connecticut and SIGNUM GROWTH CAPITAL LLC located in Goshen, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 26 firms and has passed the SIE, Series 99TO and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Daniels | Ricky Daniels

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 Richard Matthew Daniels'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 22, 2018 - Present

VIRTUS CAPITAL MARKETS LLC

Office #1: 20 Signal Road, Stamford, CT 06902

CRD#: 291456

Stamford, CT

Current

October 29, 2019 - Present

SIGNUM GROWTH CAPITAL LLC

CRD#: 300577

Goshen, CT

Current

November 11, 2020 - Present

BEACON SECURITIES US LIMITED

Office #1: 66 Wellington Street West Suite 4050, Toronto, Ontario, M5K 1H1

CRD#: 306613

Toronto, Ontario,

Current

May 20, 2021 - Present

STASH CAPITAL LLC

Office #1: 450 Park Avenue South Suite 10-111, New York, NY 10016

CRD#: 287728

New York, NY

Current

November 11, 2021 - Present

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

Office #1: 33 New Montgomery Street Suite 2000, San Francisco, CA 94105

CRD#: 137222

San Francisco, CA

Current

November 16, 2021 - Present

FOROS SECURITIES LLC

Office #1: 461 Fifth Avenue 17th Floor, New York, NY 10017

CRD#: 150217

New York, NY

Current

February 1, 2022 - Present

EQUITYBEE SECURITIES, LLC

Office #1: 955 Alma Street. Suite B, Palo Alto, CA 94301

CRD#: 41896

PALO ALTO, CA

Past

November 11, 2021 - December 1, 2023

UPSTOX USA INC.

CRD#: 306889

PASADENA, CA

Past

November 10, 2021 - April 21, 2023

PCS SECURITIES, INC.

CRD#: 47588

NEW YORK, NY

Past

August 3, 2020 - October 12, 2022

CODE ADVISORS LLC

CRD#: 153192

SAN FRANCISCO, CA

Past

January 13, 2020 - April 7, 2023

SECFI SECURITIES, LLC

CRD#: 302112

NEW YORK, NY

Past

June 3, 2015 - May 1, 2019

AXOS INVEST LLC

CRD#: 172393

New York, NY

Past

March 27, 2014 - November 3, 2014

CROWN STERLING LLC

CRD#: 169152

NEW YORK, NY

Past

March 24, 2014 - June 29, 2020

NORTH SEA SECURITIES L.P.

CRD#: 35530

New York, NY

Past

February 7, 2014 - November 11, 2015

BREAKWATER GROUP DISTRIBUTION SERVICES, LLC

CRD#: 167601

NEW YORK, NY

Past

January 2, 2014 - October 15, 2018

LWPARTNERS CAPITAL GROUP LLC

CRD#: 167438

NEW YORK, NY

Past

December 20, 2012 - January 20, 2014

SAPENO INC.

CRD#: 124769

LONDON,

Past

December 20, 2012 - August 14, 2015

MAINSAIL GROUP LLC

CRD#: 123030

NEW YORK, NY

Past

December 18, 2012 - March 5, 2020

FREEMAN & CO. SECURITIES LLC

CRD#: 118939

NEW YORK, NY

Past

September 18, 2012 - September 20, 2016

ACF INTERNATIONAL INC.

CRD#: 36151

BOSTON, MA

Past

June 7, 2012 - September 27, 2018

SUMRIDGE PARTNERS, LLC

CRD#: 152437

JERSEY CITY NJ 07310, NJ

Past

May 24, 2012 - October 15, 2013

MFR SECURITIES, INC.

CRD#: 36308

NAPLES, FL

Past

May 14, 2012 - May 15, 2012

SUMRIDGE PARTNERS, LLC

CRD#: 152437

JERSEY CITY, NJ

Past

April 18, 2012 - July 17, 2014

GREENSLEDGE CAPITAL MARKETS LLC

CRD#: 151026

NEW YORK, NY

Past

August 24, 2011 - December 3, 2014

WEDGE ALTERNATIVES LLC

CRD#: 141532

NEW YORK, NY

Past

August 17, 2011 - February 9, 2015

BREN VENTURES LLC

CRD#: 139768

NEW YORK, NY

Past

January 27, 2011 - August 25, 2011

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563

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

Florida
(8/28/2018)

Exams

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

Principal/Supervisory Exam

Series 27

Date: 1/26/2011

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

EQUITYBEE SECURITIES, LLC

EQUITYBEE SECURITIES, LLC | HMI INVESTMENTS, LTD. | HAMILTON MILLER INVESTMENTS, LLC

CRD#: 41896 / SEC#: , 8-49621

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

955 Alma Street. Suite B, Palo Alto, CA 94301

Mailing Address

955 Alma Street. Suite A, Palo Alto, CA 94301

Phone number

(650) 847-1149

Established

Delaware since 03/04/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EQUITYBEE INC.	PARENT
DANIELS, RICHARD MATTHEW	FINOP/PFO/POO	5877964
KAISER, MICHELLE AMBROSIO	CHIEF EXECUTIVE OFFICER	5880443
WADE, MITCHELL	CHIEF COMPLIANCE OFFICER	6516098

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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Richard M. Daniels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Matthew Daniels's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNUM GROWTH CAPITAL LLC

BEACON SECURITIES US LIMITED

STASH CAPITAL LLC

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

FOROS SECURITIES LLC

EQUITYBEE SECURITIES, LLC

UPSTOX USA INC.

PCS SECURITIES, INC.

CODE ADVISORS LLC

SECFI SECURITIES, LLC

AXOS INVEST LLC

CROWN STERLING LLC

NORTH SEA SECURITIES L.P.

BREAKWATER GROUP DISTRIBUTION SERVICES, LLC

LWPARTNERS CAPITAL GROUP LLC

SAPENO INC.

MAINSAIL GROUP LLC

FREEMAN & CO. SECURITIES LLC

ACF INTERNATIONAL INC.

SUMRIDGE PARTNERS, LLC

MFR SECURITIES, INC.

SUMRIDGE PARTNERS, LLC

GREENSLEDGE CAPITAL MARKETS LLC

WEDGE ALTERNATIVES LLC

BREN VENTURES LLC

INDEPENDENT BROKERAGE SOLUTIONS LLC

State Registrations and Notice Filings

Exams

SIE

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 27

Date: 1/26/2011

FINRA

Current Firm

EQUITYBEE SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EQUITYBEE SECURITIES, LLC

TRUST BUT VERIFY

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