Daniel Wrona

ROTHSCHILD & CO US

NEW YORK, NY 10020

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CRD#: 6880762

Professional summary

Daniel Wrona is a registered financial professional currently at ROTHSCHILD & CO US INC. located in New York, New York.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2018. Daniel has worked at 6 firms and has passed the Series 66, Series 79TO, 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.

ALL COAST DISTRIBUTORS, INC.; 17 BECKER AVE, BERLIN, CT 06037; E-COMMERCE; PRESIDENT; 05/21/2021; 1-2 HOURS; PRESIDENT- OVERSIGHT INTO CONSULTANTS THAT RUN DAY-TO-DAY ACTIVITY

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Wrona'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

May 2, 2024 - Present

ROTHSCHILD & CO US INC.

Office #1: 1251 Avenue Of The Americas, New York, NY 10020

CRD#: 2910

NEW YORK, NY

Past

November 17, 2021 - January 24, 2023

WILLIAM BLAIR

RIA

CRD#: 1252

NEW YORK, NY

Past

November 17, 2021 - March 1, 2024

WILLIAM BLAIR

CRD#: 1252

NEW YORK, NY

Past

August 7, 2020 - June 4, 2021

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

July 6, 2020 - June 4, 2021

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NASHVILLE, TN

Past

November 7, 2018 - March 16, 2020

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

NEW YORK, NY

Past

February 22, 2018 - March 16, 2020

HIGHTOWER SECURITIES, LLC

CRD#: 116681

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

Illinois
(5/2/2024)

New York
(5/2/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 6/11/2018

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/27/2025

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/22/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ROTHSCHILD & CO US INC.

NEW COURT SECURITIES CORPORATION | ROTHSCHILD INC. | ROTHSCHILD & CO US INC.

CRD#: 2910 / SEC#: , 8-13852

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

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Contact information

Main Address

1251 Avenue Of The Americas, New York, NY 10020

Mailing Address

1251 Avenue Of The Americas, New York, NY 10020

Phone number

(212) 403-3500

Established

Delaware since 07/20/1967

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ROTHSCHILD & CO NORTH AMERICA INC.	DIRECT SHAREHOLDER
CARROLL, JOHN MURRAY	DIRECTOR	2605675
FELDMAN, TRACY J	DIRECTOR	2575503
LONDON, FRANK STEVEN	CHIEF COMPLIANCE OFFICER	5861920
NEISSA, JAMES MANUEL	DIRECTOR	2142240
SCHACKERT, CHRISTA MARY	PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, FINANCIAL OPERATIONS PRINCIPAL & CONTROLLER	4219093
SPELLER, MICHAEL CHARLES	CHIEF EXECUTIVE OFFICER (FOR REGULATORY AND COMPLIANCE PURPOSES), PARTNER AND DIRECTOR	3105214

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Daniel Wrona

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

WILLIAM BLAIR

WILLIAM BLAIR

ALLIANCEBERNSTEIN INVESTMENTS, INC.

ALLIANCEBERNSTEIN L.P.

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2018

Series 79TO

Date: 1/27/2025

SIE

Date: 10/1/2018

Series 7

Date: 2/22/2018

FINRA

Current Firm

ROTHSCHILD & CO US INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTHSCHILD & CO US INC.

TRUST BUT VERIFY

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