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DG

Daniel F. Gutman

MERCER ALLIED COMPANY, L.P.
NEW YORK, NY 10282-2198
Some features on this profile are disabled
CRD#: 6117666
DG
Daniel Frank GutmanMERCER ALLIED COMPANY, L.P.

Professional summary

Daniel Frank Gutman, who also goes by Daniel Gutman, Dan F Gutman, Daniel F Gutman, is a registered financial professional currently at MERCER ALLIED COMPANY, L.P. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2012. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Aliases

Daniel Gutman | Dan F Gutman | Daniel F Gutman

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 Frank Gutman'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

September 3, 2026 - Present

MERCER ALLIED COMPANY, L.P.

Office #1: 200 West Street, New York, NY 10282-2198
BD
CRD#: 37404
NEW YORK, NY
Past

September 20, 2018 - April 10, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

December 22, 2012 - August 11, 2026

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT

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
Alabama
(9/3/2026)
RR
Alaska
(9/3/2026)
RR
Arizona
(9/3/2026)
RR
Arkansas
(9/3/2026)
RR
California
(9/3/2026)
RR
Colorado
(9/3/2026)
RR
Connecticut
(9/3/2026)
RR
Delaware
(9/3/2026)
RR
District of Columbia
(9/3/2026)
RR
Florida
(9/3/2026)
RR
Georgia
(9/3/2026)
RR
Hawaii
(9/3/2026)
RR
Idaho
(9/3/2026)
RR
Illinois
(9/3/2026)
RR
Indiana
(9/3/2026)
RR
Iowa
(9/3/2026)
RR
Kansas
(9/3/2026)
RR
Kentucky
(9/3/2026)
RR
Louisiana
(9/3/2026)
RR
Maine
(9/3/2026)
RR
Maryland
(9/3/2026)
RR
Massachusetts
(9/3/2026)
RR
Michigan
(9/3/2026)
RR
Minnesota
(9/3/2026)
RR
Mississippi
(9/3/2026)
RR
Missouri
(9/3/2026)
RR
Montana
(9/3/2026)
RR
Nebraska
(9/3/2026)
RR
Nevada
(9/3/2026)
RR
New Hampshire
(9/3/2026)
RR
New Jersey
(9/3/2026)
RR
New Mexico
(9/3/2026)
RR
New York
(9/3/2026)
RR
North Carolina
(9/3/2026)
RR
North Dakota
(9/3/2026)
RR
Ohio
(9/3/2026)
RR
Oklahoma
(9/3/2026)
RR
Oregon
(9/3/2026)
RR
Pennsylvania
(9/3/2026)
RR
Puerto Rico
(9/3/2026)
RR
Rhode Island
(9/3/2026)
RR
South Carolina
(9/3/2026)
RR
South Dakota
(9/3/2026)
RR
Tennessee
(9/3/2026)
RR
Texas
(9/3/2026)
RR
Utah
(9/3/2026)
RR
Vermont
(9/3/2026)
RR
Virgin Islands
(9/3/2026)
RR
Virginia
(9/3/2026)
RR
Washington
(9/3/2026)
RR
West Virginia
(9/3/2026)
RR
Wisconsin
(9/3/2026)
RR
Wyoming
(9/3/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/9/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/21/2012
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/24/2023
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MERCER ALLIED COMPANY, L.P.
MERCER ALLIED COMPANY, L.P.

CRD#: 37404 / SEC#: , 8-47739

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Loading...

Contact information

Main Address
100 Coliseum Drive, Cohoes, NY 12047
Mailing Address
100 Coliseum Drive, Cohoes, NY 12047
Phone number
(518) 886-4000
Established
Delaware since 10/11/1994
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GOLDMAN SACHS WEALTH SERVICES, L.P.SOLE LIMITED PARTNER106693
GS AYCO HOLDING LLCGENERAL PARTNER
HALL, LARIK MARSHALLPRESIDENT2634322
KINOWSKI, KYLE TVICE PRESIDENT4277862
LUKS, SHELLEY MVP & CHIEF FINANCIAL OFFICER6004389
NASS, JEREMY PAULVP & CHIEF OPERATIONS OFFICER4244509
SPENCER, STEVENVP & CHIEF COMPLIANCE OFFICER4866529
VOLSKY, MELISSA CVICE PRESIDENT4648752

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

MERCER ALLIED COMPANY, L.P.

CRD#: 37404New York, NY 10282-2198

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