Thomas M. Daniel

ROCK HARBOR CAPITAL LLC

Birmingham, MI 48009

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CRD#: 6515426

Professional summary

Thomas M Daniel, who also goes by Mackey Daniel, is a registered financial advisor currently at ROCK HARBOR CAPITAL LLC located in Birmingham, Michigan and FORESIDE FUND SERVICES, LLC located in Birmingham, Michigan.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Thomas has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mackey Daniel

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.

1) ROCK HARBOR LLC, BIRMINGHAM MI, INVESTMENT RELATED, RVP, STARTED 06/15/15, 160 HOUR PER MONTH, 120 DURING TRADING HOURS. 2) FORESIDE FUND SERVICES, LLC; INVESTMENT RELATED; PORTLAND; ME; REGISTERED REP; 07/2015; SPENDS 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS. 3) Rock Harbor Capital; Investment Related; Birmingham, MI; Marketing SMAs; IAR; 10 hours per month; Start Date 8/2023; Marketing of SMA Products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas M Daniel'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

March 27, 2024 - Present

ROCK HARBOR CAPITAL LLC

Office #1: 390 Park Street Suite 250, Birmingham, MI 48009

RIA

CRD#: 327728

Birmingham, MI

Current

July 7, 2015 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 390 Park Street Suite 250, Birmingham, MI 48009

CRD#: 46106

Birmingham, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(7/6/2020)

Illinois
(1/3/2019)

Indiana
(7/23/2015)

Michigan
(7/23/2015)

IAR

Michigan
(3/27/2024)

Nevada
(7/6/2020)

Oregon
(7/6/2020)

Tennessee
(2/12/2024)

Washington
(8/26/2020)

Wisconsin
(1/3/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/25/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/21/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/4/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/7/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ROCK HARBOR CAPITAL LLC

CRD#: 327728 / SEC#:

Michigan

Registered Investment Advisory firm - (9/14/2023 Approved)

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Contact information

Main Address

390 Park Street Suite 250, Birmingham, MI 48009

Mailing Address

Phone number

(248) 283-3060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Thomas M. Daniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ROCK HARBOR CAPITAL LLC

FORESIDE FUND SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/25/2024

Series 63

Date: 7/21/2015

Series 7TO

Date: 12/4/2018

SIE

Date: 10/1/2018

Series 6

Date: 7/7/2015

FINRA

Current Firm

ROCK HARBOR CAPITAL LLC

Contact information

Documents

Red Flags

Company Information

ROCK HARBOR CAPITAL LLC

TRUST BUT VERIFY

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