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Daniel Gerald Platt

Neumann Capital Management

Foster City, CA

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Current Employers
Neumann Capital Management

303 Vintage Park Drive, Suite 100, Foster City, CA 94404-1167 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-01
IL RA APPROVED 2022-09-01
TX RA APPROVED 2022-09-01
  • CA RA
    APPROVED
    Since 2022-09-01
  • IL RA
    APPROVED
    Since 2022-09-01
  • TX RA
    APPROVED
    Since 2022-09-01

Branch Locations

303 Vintage Park Drive, Suite 100, Foster City, CA 94404-1167 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. San Francisco CA 01/2008 10/2017
Brio Financial Group San Francisco CA 10/2017 07/2019
Neumann Capital Management, Llc Foster City CA 09/2019 Present
  • 01/2008 → 10/2017
    Ameriprise Financial Services, Inc.
    San Francisco, CA
  • 10/2017 → 07/2019
    Brio Financial Group
    San Francisco, CA
  • 09/2019 → Present
    Neumann Capital Management, Llc
    Foster City, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-13
S63 Uniform Securities Agent State Law Examination 2004-03-30
  • S65 Uniform Investment Adviser Law Examination
    2008-03-13
  • S63 Uniform Securities Agent State Law Examination
    2004-03-30
Designations

View on SEC IAPD

Other Firms

CITIGROUP GLOBAL MARKETS INC.
U.S. BANCORP ADVISORS, LLC
J.P. MORGAN SECURITIES LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SUMMITRY, LLC
WELLS FARGO CLEARING SERVICES, LLC
CELESTA
SEMPERVIRENS VENTURES LLC

Other Investors

TONY HUNG NGUY
DYLAN BOWSKY
Ronald Timothy Clement
Tom Gai
Jia Hui Wei
Xiaoyan Zhou
AJANTA BASAK
Mohammad Safariannematabad

Other Offices

CITIGROUP GLOBAL MARKETS INC. · Foster City, CA
U.S. BANCORP ADVISORS, LLC · Foster City, CA
J.P. MORGAN SECURITIES LLC · SAN MATEO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOSTER CITY, CA
SUMMITRY, LLC · FOSTER CITY, CA
J.P. MORGAN SECURITIES LLC · FOSTER CITY, CA
WELLS FARGO CLEARING SERVICES, LLC · FOSTER CITY, CA
CELESTA · SAN MATEO, CA

More in Foster City, CA

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