DT
Daniel E. Tumm
SCOTIA CAPITAL (USA)
NEW YORK, NY 10281
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CRD#: 6694148
DT
Daniel Edward TummSCOTIA CAPITAL (USA)
Professional summary
Daniel Edward Tumm is a registered financial professional currently at SCOTIA CAPITAL (USA) INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2016. Daniel has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 79 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Edward Tumm'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®
NoneExperience
Current
November 25, 2024 - Present
SCOTIA CAPITAL (USA) INC.
Office #1: 250 Vesey Street, New York, NY 10281BD
CRD#: 2739
NEW YORK, NY
Past
March 19, 2018 - December 5, 2019
LAZARD FRERES & CO. LLC
BD
CRD#: 2528
SAN FRANCISCO, CA
Past
November 20, 2017 - March 14, 2018
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
August 31, 2016 - October 31, 2017
LEERINK PARTNERS LLC
BD
CRD#: 39011
SAN FRANCISCO, CA
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(11/29/2024)
RR
Alaska(11/29/2024)
RR
Arizona(11/29/2024)
RR
Arkansas(11/29/2024)
RR
California(11/29/2024)
RR
Colorado(11/29/2024)
RR
Connecticut(11/29/2024)
RR
Delaware(11/29/2024)
RR
District of Columbia(11/29/2024)
RR
Florida(11/29/2024)
RR
Georgia(11/29/2024)
RR
Hawaii(11/29/2024)
RR
Idaho(11/29/2024)
RR
Illinois(11/29/2024)
RR
Indiana(11/29/2024)
RR
Iowa(11/29/2024)
RR
Kansas(11/29/2024)
RR
Kentucky(11/29/2024)
RR
Louisiana(11/29/2024)
RR
Maine(11/29/2024)
RR
Maryland(11/29/2024)
RR
Massachusetts(11/29/2024)
RR
Michigan(11/29/2024)
RR
Minnesota(11/29/2024)
RR
Mississippi(11/29/2024)
RR
Missouri(11/29/2024)
RR
Montana(11/29/2024)
RR
Nebraska(11/29/2024)
RR
Nevada(11/29/2024)
RR
New Hampshire(11/29/2024)
RR
New Jersey(11/29/2024)
RR
New Mexico(11/29/2024)
RR
New York(11/29/2024)
RR
North Carolina(11/29/2024)
RR
North Dakota(11/29/2024)
RR
Ohio(11/29/2024)
RR
Oklahoma(11/29/2024)
RR
Oregon(11/29/2024)
RR
Pennsylvania(11/29/2024)
RR
Puerto Rico(11/29/2024)
RR
Rhode Island(11/29/2024)
RR
South Carolina(11/29/2024)
RR
South Dakota(11/29/2024)
RR
Tennessee(11/29/2024)
RR
Texas(11/29/2024)
RR
Utah(11/29/2024)
RR
Vermont(11/29/2024)
RR
Virginia(11/29/2024)
RR
Washington(11/29/2024)
RR
West Virginia(11/29/2024)
RR
Wisconsin(11/29/2024)
RR
Wyoming(11/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 11/24/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SCOTIA CAPITAL (USA) INC.
HOWARD WEIL (A DIVISION OF SCOTIABANK) | SCOTIAMCLEOD (USA) INC. | SCOTIA HOWARD WEIL | SCOTIA CAPITAL MARKETS (USA) INC. | SCOTIA CAPITAL (USA) INC. | MCLEOD YOUNG WEIR INCORPORATED
CRD#: 2739 / SEC#: , 8-3716
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
250 Vesey Street, New York, NY 10281
Mailing Address
250 Vesey Street, New York, NY 10281
Phone number
(212) 225-6500
Established
New York since 11/25/1939
Firm type
Corporation
Fiscal year end
October
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCOTIA HOLDINGS (USA) LLC | SOLE SHAREHOLDER | |
| ATTIA, MONCEF | BOARD MEMBER | 4852031 |
| DUSSEAU, SEAN MICHAEL | CHIEF OPERATING OFFICER & BOARD MEMBER | 6628832 |
| GALANTE, ANTHONY JAMES | CHIEF FINANCIAL OFFICER | 2168905 |
| GEORGALAS, ANDREAS ZANIS | CHIEF LEGAL OFFICER | 4769326 |
| GOHMAN, BENJAMIN E | BOARD MEMBER | 4835406 |
| KAUSHIK, KSHAMTA | CHAIR OF THE BOARD AND PRESIDENT AND CHIEF EXECUTIVE OFFICER | 7523252 |
| KHAN, ARIF KAMAL | CHIEF COMPLIANCE OFFICER | 5011278 |
| NATHANSON, GARY | BOARD MEMBER | 4825746 |
| PATEL, HEMANG | CHIEF OPERATIONS OFFICER | 8032984 |
| WANG, ELSA YI-HUI | BOARD MEMBER | 5984605 |
| WILSON, MARC-ANDRE | BOARD MEMBER | 6455732 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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