Donald S. Erenberg
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.
Donald Stanley Erenberg was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1968. Donald had worked at 9 firms and has passed the Series 63, Series 41, Series 1, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 1987 - May 23, 2011
FIRST NEW YORK SECURITIES L.L.C.
July 5, 1984 - February 6, 1985
LADENBURG THALMANN & CO. INC.
December 12, 1983 - July 5, 1984
D. H. BLAIR & CO., INC.
August 28, 1973 - March 15, 1983
CIBC WORLD MARKETS CORP.
March 22, 1973 - October 10, 1973
ANDRESEN & CO.
October 12, 1971 - April 24, 1973
JAS. H. OLIPHANT & CO., INC.
March 9, 1970 - December 16, 1971
M P BROWN & CO INCORPORATED
October 21, 1968 - November 25, 1971
STEINDECKER & CO
October 14, 1968 - December 18, 1986
ROONEY, PACE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 10/14/1968
NYSE Allied Member ExaminationSeries 1
Date: 11/17/1961
Registered Representative ExaminationSeries 12
Date: 7/28/1975
NYSE Branch Manager ExaminationSeries 00
Date: 10/14/1968
General Securities Principal ExaminationCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
