Daniel E. Garofalo
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 E Garofalo, who also goes by Daniel Edward Garofalo, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2004. Daniel had worked at 5 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2023 - November 22, 2023
IMC SECURITIES LLC
March 8, 2021 - November 22, 2023
IMC EXECUTION SERVICES
January 11, 2012 - November 22, 2023
IMC FINANCIAL MARKETS
June 8, 2006 - September 16, 2011
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 25, 2004 - August 18, 2004
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 26, 2004 - June 25, 2004
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
IMC SECURITIES LLC
CRD#: 144874 / SEC#: , 8-67680
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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