Daniel Butterly
Professional summary
Daniel Butterly, who also goes by Daniel Alfred Butterly, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in Los Angeles, California and CNR SECURITIES, LLC located in Beverly Hills, California.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Butterly's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2022 - Present
CITY NATIONAL ROCHDALE
Office #2: 400 N Roxbury Dr 6th Floor, Beverly Hills, CA 90210October 6, 2022 - Present
CNR SECURITIES, LLC
Office #1: 400 N Roxbury Dr 7th Floor, Beverly Hills, CA 90210September 14, 2012 - April 2, 2013
HEADWATERS BD, LLC
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/7/2022)
(11/10/2022)
Exams
Series 7TO
Date: 10/6/2022
General Securities Representative ExaminationFINRA
Current Firm
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
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