Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened an investigation into Daniel Zlotnick (CRD# 1177472), a Melville, New York financial advisor currently registered with OneDigital and formerly associated with Osaic Wealth and Kestra Investment Services. If you are an investor concerned about your accounts or recent losses, you deserve facts and answers about your advisor’s history, red flags, and how you might recover your funds. Our attorneys aggressively advocate for investors and invite you to contact us for a free, private consultation at 1-888-885-7162.
Summary of Daniel Zlotnick’s Regulatory Background
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With nearly four decades in the securities industry, Daniel Zlotnick has moved through several firms across New York and Texas. According to BrokerCheck and SEC records, he is currently registered as an investment advisor with OneDigital since 2023. Our firm’s investigation focuses on his employment at Kestra Investment Services (2018–2021) and Osaic Wealth (2021–2023) due to an investor complaint regarding unsuitable alternative investments.
| Advisor Name | Daniel Zlotnick |
|---|---|
| CRD Number | 1177472 |
| Location | Melville, New York |
| Current Firm | OneDigital (investment advisor only) |
| Former Broker-Dealers | Osaic Wealth; Kestra Investment Services |
| Licensing States | New York, Texas |
Disclosed Complaints and Red Flags
- Customer Complaints: 1
- Arbitrations: 0
- Regulatory Actions, Disciplinary Events, Formal Investigations: None reported
- Civil Litigation, Bankruptcies, Tax Liens: None reported
- Criminal Complaints: None reported
| Date of Complaint | Allegation | Broker/Dealer During Event | Outcome |
|---|---|---|---|
| March 2026 | Unsuitable recommendations related to alternative investments | Kestra Investment Services | Pending, damages sought: at least $5,000 |
What Is a Suitability Complaint? Why Does It Matter?
When an investor files a suitability complaint, they allege their advisor recommended investments inconsistent with their financial profile, risk tolerance, or objectives. Under FINRA Rule 2111, every broker must ensure that any securities or investment strategy is suitable for the client’s unique situation. This assessment requires careful diligence, factoring in the client’s age, experience, risk appetite, goals, and investment timeline. Violations can result in financial losses, and advisors making unsuitable recommendations may be found liable for damages and recovery of lost funds.
The pending complaint against Daniel Zlotnick claims that he recommended an inappropriate or high-risk alternative investment while registered with Kestra Investment Services. The investor contends they have sustained damages of at least $5,000 but have not yet specified a final amount. Our ongoing investigation is examining whether Mr. Zlotnick’s advice was backed by sufficient diligence, whether he acted in his client’s best interest, and if additional cases may surface.
Regulatory Reviews and Licensing
According to the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), Daniel Zlotnick:
- Holds 39 years of securities industry experience
- Passed seven industry examinations (including the SIE, Series 6, 7, 22, 63, 65, and 2)
- Is currently registered in New York and Texas
- Has not faced formal disciplinary actions, fines, or suspensions from any regulatory body
Are There Other Red Flags?
Our research, drawn from BrokerCheck and other public records, has not revealed additional enforcement actions, civil litigation, or regulatory proceedings involving Daniel Zlotnick, whether at Osaic Wealth, Kestra Investment Services, or his other affiliated firms. No related SEC orders, state regulator actions, bankruptcies, or criminal records have been found. The current suitability complaint remains the primary disclosure and focus of our investigation. Nonetheless, our attorneys believe that any instance of alleged unsuitability is cause for concern and merits close attention due to the potential for repeated patterns or broader damages.
Why Investors Should Be Proactive
If your advisor recommended an alternative investment or strategy you do not fully understand, or one that caused steep losses, you may be entitled to recover those losses. Our attorneys previously defended Wall Street firms, giving us insider knowledge to help recover investor funds aggressively. With a 98% success rate across hundreds of investor claims, 95+ years of combined securities law experience, recognition in the Top 2% by Martindale-Hubbell (AV Preeminent), a Super Lawyers designation, over $520 million in securities matters handled, and 5.0-star client reviews, our firm has earned its reputation as a top advocate for investors. We work on a no recovery, no fee basis. If we do not recover your funds, you owe nothing.
How Do You Know If You Have a Case?
Most investors are unaware that unsuitable investment claims are time-sensitive and complex. If you have worked with Daniel Zlotnick, especially during his tenure at Kestra Investment Services or Osaic Wealth, and suspect that your losses may result from inappropriate recommendations, contact us now. We offer a complimentary, zero-obligation review to discuss your experience and determine if your account may qualify for recovery.
Take control of your recovery. Call us at 1-888-885-7162 or use our secure online form for your free, private consultation. Our firm stands ready to fight for your rights and put our insider knowledge and track record to work for you.
- Have you noticed unexplained losses or risky products in your account?
- Did your advisor explain the true risks and costs of any recommendation?
- Are you unsure which products you even own?
If so, you are not alone, and you do not need to face this process by yourself.
Contact our attorneys now at 1-888-885-7162 for confidential help. Begin the process of recovering your losses and protecting your financial security today.
