Daniel Spiegel has been Managing Member of VCP Financial since June 2013, is a control person of the firm and directly owns between 25% and 50% of it.
VCP Financial LLC is a Staten Island, NY firm with $143M under management, 411 clients and 4 advisers in one office, as of its February 2026 filing.
Daniel Spiegel’s longest registration is the current one, 12 years at VCP Financial since 2014. Before joining VCP Financial in 2014, Daniel Spiegel was registered through Sterne Agee Asset Management, Inc. and Synergy Investment Group, LLC.
- VCP Financial LLCCurrent– present · 12 yearsStaten Island, NY · Adviser representative · Firm CRD 167901
- Sterne Agee Asset Management, Inc.– · 2 yearsNew York, NY · Adviser representative · Firm CRD 130888
- Synergy Investment Group, LLC– · 1 yearNew York, NY · Adviser representative · Firm CRD 46035
Investment adviser representative registrations
Daniel Spiegel is registered as an investment adviser representative in 14 states. The first approvals date from January 2017; the most recent is Utah, in November 2025.
- CaliforniaSince 18 January 2017
- ConnecticutSince 13 May 2025
- FloridaSince 26 July 2023
- GeorgiaSince 1 July 2025
- IllinoisSince 2 November 2023
- LouisianaSince 21 November 2024
- MarylandSince 19 December 2022
- MichiganSince 2 November 2023
- New JerseySince 1 May 2023
- New YorkSince 31 August 2021
- OhioSince 2 November 2023
- PennsylvaniaSince 26 April 2023
- TexasSince 2 November 2023
- UtahSince 7 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 5 November 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 April 2004 |
| Series 7 | General Securities Representative Examination | 3 March 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 4191462
- Firm
- VCP Financial · CRD 167901
- Role
- Managing Member
- Office
- 2535 VICTORY BOULEVARD, Staten Island, NY 10314
- Registration
- Investment adviser registration
- In the industry since
- April 2004
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Spiegel work?
Daniel Spiegel has been Managing Member of VCP Financial LLC since June 2013, and is a control person of the firm.
Is Daniel Spiegel a financial advisor?
Yes. Daniel Spiegel has a current investment-adviser registration in California, Connecticut, Florida, Georgia, Illinois, Louisiana, Maryland, Michigan, New Jersey, New York, Ohio, Pennsylvania, Texas and Utah, through VCP Financial since June 2014.
How many years of experience does Daniel Spiegel have?
Daniel Spiegel has 22 years in the financial industry, since April 2004, across 3 adviser firms.
What exams has Daniel Spiegel passed?
Daniel Spiegel has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in March 2004. FINRA credited Daniel Spiegel with the SIE, which began in October 2018.
Where did Daniel Spiegel work before VCP Financial?
Before VCP Financial, Daniel Spiegel was registered through Sterne Agee Asset Management, Inc., April 2012 to June 2014; Synergy Investment Group, LLC, November 2010 to March 2012.
Where is Daniel Spiegel based?
Daniel Spiegel’s registered office is in Staten Island, NY.
Is Daniel Spiegel registered with FINRA?
No. Daniel Spiegel has no current broker registration.
How can I verify Daniel Spiegel’s record?
Search CRD 4191462 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Spiegel’s full registration record.