linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Daniel Orlando Otoya

PHX Financial, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Daniel? Claim Your Profile

About Daniel Orlando Otoya

Daniel Orlando Otoya is a financial advisor with Phx Financial, Inc. with over 25 years of experience in the financial industry. Daniel is registered with FINRA and the state of New York and holds Series 7, Series 63, Series 66, and Series 24 licenses. He is also a registered principal. Daniel is a valuable resource to individuals and families, providing comprehensive wealth management and financial planning services.

Firm Information

Daniel Otoya is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Daniel Otoya’s Registration & Firm History

NY

10/01/2015 - Present

PHX Financial, Inc. (NEW YORK NY)

NY

07/02/2014 - 10/16/2015

AEGIS CAPITAL CORP. (MELVILLE NY)

NY

04/18/2007 - 10/10/2014

ROCKWELL SECURITIES LLC (NEW YORK NY)

NY

04/27/2004 - 11/20/2006

S.W. BACH & COMPANY (PORT WASHINGTON NY)

NY

01/09/2001 - 04/27/2004

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

NY

12/08/1998 - 03/13/2001

MORGAN, TAYLOR & ASSOCIATES, INC. (MINEOLA NY)

FL

03/24/1997 - 10/22/1998

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

NY

12/20/1996 - 03/24/1997

TIMECAPITAL SECURITIES CORPORATION (PORT JEFFERSON STATION NY)

NA

06/08/1993 - 11/26/1996

KENSINGTON WELLS INCORPORATED

Not sure if Daniel Orlando Otoya is right for you?

Licenses & Designations

BOTH

Issued 09/06/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/21/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 06/24/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/07/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Daniel Orlando Otoya. Review regulatory record here.
Not sure if Daniel Orlando Otoya is right for you?