Daniel J. Schwartz
Professional summary
Daniel J Schwartz, who also goes by Daniel J Schwartz, Daniel Jacob Schwartz, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2018. Daniel has worked at 4 firms and has passed the Series 63, Series 79, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel J Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 4, 2025 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414April 27, 2023 - September 25, 2024
ROBERT W. BAIRD & CO. INCORPORATED
April 11, 2022 - April 15, 2023
J.P. MORGAN SECURITIES LLC
October 14, 2020 - March 22, 2022
ROBERT W. BAIRD & CO. INCORPORATED
October 9, 2018 - October 5, 2020
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/4/2025)
Exams
FINRA
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
