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Daniel A Claps

Investment Adviser Representative at ARETE WEALTH ADVISORS, LLC

Jersey City, NJCRD #1841040Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
31 yrs
States Registered
4 states
Exams Passed
13

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Daniel A. Claps has worked in the securities industry since 1995. They have passed the Series 99, 65, 63, 30, 24, 10, 9, 7, 6, 4, and 3 examinations. They are registered to provide investment advisory services in Florida, New Jersey, New York, and Texas.

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
FloridaNew JerseyNew YorkTexas
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 8/12/2008
Series 63
Uniform Securities Agent State Law Examination
Passed 10/23/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 7/2/2008
Series 7
General Securities Representative Examination
Passed 10/11/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 6/6/1988
Series 4
Registered Options Principal Examination
Passed 10/28/2008
Series 30
NFA Branch Manager Examination
Passed 9/2/2008
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 2/13/2004
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 2/13/2004
Series 24
General Securities Principal Examination
Passed 1/9/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $249,0003.00%
$250,000 - $749,9992.50%
$750,000 - $1,499,9992.00%
$1,500,000 - $4,999,9991.75%
$5,000,000 and over1.50%
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Arete Wealth Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ARETE WEALTH ADVISORS, LLCCurrent
11/14/2024Jersey City, NJ
B. RILEY WEALTH ADVISORS, INC.
3/5/200911/26/2024Jersey City, NJ

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel A Claps has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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