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DK

Daniel R. Kraus

PEEL HUNT
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 6240839
DK

Professional summary

Daniel Robert Kraus is a registered financial professional currently at PEEL HUNT INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Robert Kraus's 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 15, 2022 - Present

PEEL HUNT INC.

Office #1: 10 Grand Central 155 East 44th Street, New York, NY 10017
BD
CRD#: 157321
NEW YORK, NY
Past

May 28, 2019 - February 16, 2021

INVESTEC SECURITIES (US) LLC

BD
CRD#: 138421
NEW YORK, NY
Past

March 27, 2018 - May 6, 2019

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY
Past

February 18, 2014 - February 21, 2018

PANMURE LIBERUM INC

BD
CRD#: 148135
NEW YORK, NY
Past

September 12, 2013 - February 12, 2014

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY

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
New York
(9/15/2022)
RR
Virginia
(1/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/2013
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 7
Date: 9/12/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PH
PEEL HUNT INC.
PEEL HUNT INC.

CRD#: 157321 / SEC#: , 8-68845

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
7th Floor 100 Liverpool Street, London, EC2M 2AT
Mailing Address
7th Floor 100 Liverpool Street, London, EC2M 2AT
Phone number
4420 7418-8900
Established
Delaware since 03/04/2011
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PEEL HUNT INTERNATIONAL LIMITEDOWNER
FINE, STEVEN HARVEYCHAIRMAN2000873
GROSS, ANDREW PAULCEO2402407
LAW, GEORGIA PHILIPPA DUNCANCCO8165329
RUTITSKIY, DMITRIY NMNFINOP6117665
SCHOFIELD, JAMESPOO, PFO7138333

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

PEEL HUNT INC.

CRD#: 157321New York, NY 10017

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