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DE

Daniel J. Elkaim

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CRD#: 1410330
DE

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Jonathan Elkaim was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1985. Daniel had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 13, 2020 - June 28, 2022

CEROS FINANCIAL SERVICES, INC.

BD
CRD#: 37869
Delray Beach, FL
Past

May 18, 2015 - May 2, 2018

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

December 2, 2014 - May 13, 2015

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

April 23, 2012 - May 14, 2013

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

August 31, 2011 - April 23, 2012

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

January 3, 2011 - May 23, 2011

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

January 6, 2006 - January 3, 2011

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

January 14, 2005 - January 6, 2006

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 21, 2000 - January 18, 2005

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

March 8, 1994 - April 5, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 28, 1989 - March 15, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 24, 1986 - April 6, 1989

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 22, 1985 - November 25, 1986

PERSHING LLC

BD
CRD#: 7560

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 5/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/20/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/18/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/30/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/2001
General Securities Principal Examination

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869

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