Daniel Morales

BANCROFT CAPITAL

Uniondale, NY 11556

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CRD#: 6116497

Professional summary

Daniel Morales is a registered financial professional currently at BANCROFT CAPITAL, LLC located in Uniondale, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Morales'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

March 20, 2023 - Present

BANCROFT CAPITAL, LLC

Office #1: 626 Rxr Plaza 6th Floor, West Tower, Uniondale, NY 11556

RIA

CRD#: 290665

Uniondale, NY

Past

August 9, 2021 - March 1, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LONG BEACH, NY

Past

August 9, 2021 - March 1, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

LONG BEACH, NY

Past

September 4, 2019 - July 20, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

NEW YORK, NY

Past

September 3, 2019 - July 20, 2021

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

NEW YORK, NY

Past

January 18, 2013 - October 31, 2018

DREXEL HAMILTON, LLC

CRD#: 143570

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

New York
(3/20/2023)

Pennsylvania
(3/21/2023)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/17/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/2013

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania

Registered Investment Advisory firm - SEC (4/13/2018 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

501 Office Center Drive Suite 130, Fort Washington, PA 19034

Mailing Address

501 Office Center Drive Suite 130, Fort Washington, PA 19034

Phone number

(484) 686-0346

Established

Pennsylvania since 07/04/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUINN, CAULDON DEAN	CEO	4530968
BANCROFT HOLDINGS, LLC	HOLDING CO.
LINDH, COLLEEN MARNIE	CCO/FINOP	1912150

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel Morales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Morales's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

DREXEL HAMILTON, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2018

Series 66

Date: 6/17/2013

SIE

Date: 10/1/2018

Series 7

Date: 1/17/2013

FINRA

Nasdaq Stock Market

Current Firm

BANCROFT CAPITAL, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BANCROFT CAPITAL, LLC

TRUST BUT VERIFY

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