Daniel James Carr
Professional Summary
Daniel James Carr, who also goes by Daniel Carr, is a registered financial advisor currently at COMMERZ MARKETS LLC located in New York, New York. Daniel is registered as a RR (Registered Representative) and started their career in finance in 2011. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Carr
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
15 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK
Contact Information
Main Address
225 Liberty Street, New York, NY 10281Mailing Address
225 Liberty Street, New York, NY 10281Phone Number
(212) 266-7200Established
Delaware since 05/28/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERZBANK AG | SHAREHOLDER | — |
| BARBELLA, JOSEPH | CHIEF COMPLIANCE OFFICER | 5058379 |
| DEFREN, JOHN CHARLES | CHIEF LEGAL OFFICER | 5917742 |
| GEREMIA, JOHN MICHAEL | PRESIDENT/MEMBER BOARD OF MANAGERS | 1794769 |
| HOLSTEN, ANDREAS FRITZ BRUNO | MEMBER BOARD OF MANAGERS | — |
| HUBLEY, YOKO | CFO/FINOP | 4297053 |
| LI, SU-CHANG | PRINCIPAL OPERATIONS OFFICER/FINOP | 4990155 |
| LLOYD, KEITH ROSWELL | MEMBER BOARD OF MANAGERS | 2836268 |
| ROYAN, LEE-ANN | CHIEF OPERATING OFFICER | 4860551 |
| SOENNECKEN SCHMIDT, SILKE | MEMBER BOARD OF MANAGERS | — |
| TONER, JOSEPH GREGORY | TREASURER | 4910635 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(1/24/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2011About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel James Carr's CRS (Customer Relationship Summary).
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