DT
Daniel Tobon
ADP BROKER-DEALER
Florham Park, NJ 07932
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CRD#: 7562750
DT
Professional summary
Daniel Tobon is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Florham Park, New Jersey.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2022. Daniel has worked at 2 firms and has passed the Series 63, Series 65, Series 6TO and SIE exams.
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.
Capital Yield LLC. Not investment related. Miami, FL 33178. Nature of business: cryptocurrency mining. Position: Co-founder. Start date: 06/2021. Hours per Month: 10. No hours per month during trading hours. Manage miners. Florida Financial Advisors. Investment Related. Miami, FL 33132. Nature of Business: RIA. Position: Financial Consultant. Start Date: 05/2022. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment Related Activities. Florida Financial Advisors. Not Investment Related. Miami, FL 33132.Nature of Business: Fixed Insurance Sales. 05/2022. Hours per Month: 10 hours during trading. Duties: fixed insurance sales
CRS (Client Relationship Summary) - BD
Click below to view Daniel Tobon'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 18, 2024 - Present
ADP BROKER-DEALER, INC.
Office #1: 71 Hanover Road, Florham Park, NJ 07932BD
CRD#: 37693
Florham Park, NJ
Past
June 24, 2022 - July 26, 2022
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Miami, FL
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
Florida(11/18/2024)
RR
North Carolina(2/26/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/18/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AB
ADP BROKER-DEALER, INC.
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Adp Boulevard, Roseland, NJ 07068-1786
Mailing Address
71 Hanover Road Ms - 580, Florham Park, NJ 07932
Phone number
(973) 712-2316
Established
New Jersey since 07/12/1994
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
