Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Daniel A Baratz
Dan Baratz, Daniel Adam Baratz
CRD#: 5430484
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 Cherry Hill, NJ
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2011 (4 years)2 FIRMS2011 - 2018 (6 years)2 FIRMS2022 - Present (2 years)IASOWELL MANAGEMENT (CRD# 127145)2018 - 2022 (4 years)
License(s)

State Registrations

B
Alabama 12/21/2022
B
Kansas 1/3/2023
B
Alaska 12/21/2022
B
Kentucky 12/21/2022
B
Arizona 1/3/2023
B
Louisiana 1/9/2023
B
Arkansas 12/21/2022
B
Massachusetts 12/20/2022
B
California 12/21/2022
IA
New Jersey 6/27/2022
B
Colorado 12/21/2022
B
New Jersey 12/9/2022
B
Connecticut 12/21/2022
B
Tennessee 12/22/2022
B
Delaware 12/22/2022
B
Texas 1/5/2023
B
District of Columbia 12/22/2022
IA
Texas 1/12/2023
B
Florida 12/21/2022
B
Utah 12/21/2022
B
Georgia 12/22/2022
B
Vermont 12/21/2022
B
Hawaii 12/21/2022
B
Virginia 12/21/2022
B
Idaho 12/21/2022
B
Washington 12/20/2022
B
Illinois 12/22/2022
B
West Virginia 1/26/2023
B
Indiana 12/21/2022
B
Wisconsin 12/21/2022
B
Iowa 12/22/2022
B
Wyoming 1/5/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
EDWARD JONES (CRD#:250)
Cherry Hill, NJ
Registered with this firm since 8/25/2022
IA
EDWARD JONES (CRD#:250)
Cherry Hill, NJ
Registered with this firm since 6/27/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/28/2018 - 06/27/2022 SOWELL MANAGEMENT (CRD#:127145) Marlton, NJ
IA
 11/23/2011 - 02/27/2018 AMERICAN PORTFOLIOS ADVISORS, INC (CRD#:112697) HOLBROOK, NY
B
 11/22/2011 - 02/27/2018 AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (CRD#:18487) Marlton, NJ
IA
 10/29/2007 - 11/23/2011 PTS BROKERAGE, LLC (CRD#:119307) MARLTON, NJ
B
 10/08/2007 - 11/23/2011 PTS BROKERAGE, LLC (CRD#:119307) MARLTON, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.