Daniel Philip Rosenbaum
Professional Summary
Daniel Philip Rosenbaum is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in New York, New York and RBC CMA LTD located in New York, New York. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 4 firms and has passed the Series 63, Series 22TO, Series 52TO, Series 82TO, Series 6TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
RBC CAPITAL MARKETS ARBITRAGE, S.A. | RBC CMA LTD | RBC CMA LLC
Contact Information
Main Address
Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGNMailing Address
3 World Financial Center 200 Vesey Street - 14th Floor, New York, NY 10281Phone Number
(212) 858-7000Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYAL BANK HOLDING INC. | DIRECT OWNER | — |
| GRANNIS, JOHN | CHIEF OPERATING OFFICER | 2934841 |
| HAGGERTY, KEVIN BERNARD | PRINCIPAL OPERATIONS OFFICER | 3125010 |
| JASNOSZ, MICHAEL EDWARD | CHIEF COMPLIANCE OFFICER | 4386029 |
| JIANG, HE | PRINCIPAL FINANCIAL OFFICER | 5107323 |
| MANNING, THOMAS JAMES IV | PRESIDENT, CEO | 5182531 |
| ROSENBAUM, DANIEL PHILIP | CHAIRMAN OF THE BOARD | 2797995 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 1999Series 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Philip Rosenbaum's CRS (Customer Relationship Summary).
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