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Daniel B. Neuwirth

TRANSACT CAPITAL SECURITIES
Glen Allen, VA 23060
Some features on this profile are disabled
CRD#: 7798760
DN

Professional summary

Daniel Baruch Neuwirth is a registered financial professional currently at TRANSACT CAPITAL SECURITIES, LLC located in Glen Allen, Virginia.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2023. Daniel has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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

September 11, 2023 - Present

TRANSACT CAPITAL SECURITIES, LLC

Office #1: 4991 Lake Brook Dr. Suite 150, Glen Allen, VA 23060
BD
CRD#: 133822
Glen Allen, VA

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
California
(9/29/2023)
RR
Colorado
(9/11/2023)
RR
Maryland
(9/18/2024)
RR
New York
(9/29/2023)
RR
North Carolina
(9/29/2023)
RR
Pennsylvania
(9/29/2023)
RR
Texas
(9/29/2023)
RR
Virginia
(9/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/11/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRANSACT CAPITAL SECURITIES, LLC
ALPHA OMEGA CAPITAL SECURITIES, LLC | TRANSACT CAPITAL SECURITIES, LLC

CRD#: 133822 / SEC#: , 8-66778

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
4991 Lake Brook Dr. Suite 150, Glen Allen, VA 23060
Mailing Address
4991 Lake Brook Dr., Suite 150 Suite 150, Glen Allen, VA 23060
Phone number
(804) 612-7102
Established
Virginia since 08/19/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
15

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TRANSACT CAPITAL PARTNERS LLCPARENT COMPANY
IVAN, JOHN MICHAELCHIEF COMPLIANCE OFFICER1292150
MORIN, PATRICK BURNHAMPRINCIPAL, POO2210592
RIP, OLGAFINOP, PFO5440553
0

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.

Company Information

TRANSACT CAPITAL SECURITIES, LLC

CRD#: 133822Glen Allen, VA 23060

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