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DR

Daniel P. Rosenbaum

RBC CAPITAL MARKETS
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 2797995
DR

Professional summary

Daniel Philip Rosenbaum is a registered financial professional 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, Series 3, Series 39, Series 26, Series 14 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) - BD

Click below to view Daniel Philip Rosenbaum's CRS (Customer Relationship Summary).

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

Current

February 29, 2008 - Present

RBC CAPITAL MARKETS, LLC

Office #1: 200 Vesey St., New York, NY 10281
RIA
BD
CRD#: 31194
NEW YORK, NY
Current

November 7, 2011 - Present

RBC CMA LTD

Office #1: 200 Vesey Street 14th Floor, New York, NY 10281
BD
CRD#: 121263
NEW YORK, NY
Past

May 24, 1999 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY
Past

January 8, 1997 - May 7, 1999

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/12/2018)
RR
Alaska
(1/12/2018)
RR
Arizona
(1/12/2018)
RR
Arkansas
(1/12/2018)
RR
California
(1/12/2018)
RR
Colorado
(1/12/2018)
RR
Connecticut
(1/12/2018)
RR
Delaware
(1/12/2018)
RR
District of Columbia
(1/12/2018)
RR
Florida
(1/12/2018)
RR
Georgia
(1/12/2018)
RR
Hawaii
(1/12/2018)
RR
Idaho
(1/12/2018)
RR
Illinois
(1/12/2018)
RR
Indiana
(1/12/2018)
RR
Iowa
(1/12/2018)
RR
Kansas
(1/12/2018)
RR
Kentucky
(1/12/2018)
RR
Louisiana
(1/12/2018)
RR
Maine
(1/12/2018)
RR
Maryland
(1/12/2018)
RR
Massachusetts
(1/12/2018)
RR
Michigan
(1/12/2018)
RR
Minnesota
(1/12/2018)
RR
Mississippi
(1/12/2018)
RR
Missouri
(1/12/2018)
RR
Montana
(1/12/2018)
RR
Nebraska
(1/12/2018)
RR
Nevada
(1/12/2018)
RR
New Hampshire
(1/12/2018)
RR
New Jersey
(1/12/2018)
RR
New Mexico
(1/12/2018)
RR
New York
(2/29/2008)
RR
North Carolina
(1/16/2018)
RR
North Dakota
(1/12/2018)
RR
Ohio
(1/15/2018)
RR
Oklahoma
(1/12/2018)
RR
Oregon
(1/12/2018)
RR
Pennsylvania
(1/12/2018)
RR
Puerto Rico
(1/12/2018)
RR
Rhode Island
(1/12/2018)
RR
South Carolina
(1/12/2018)
RR
South Dakota
(1/12/2018)
RR
Tennessee
(1/12/2018)
RR
Texas
(1/12/2018)
RR
Utah
(1/12/2018)
RR
Vermont
(1/12/2018)
RR
Virgin Islands
(1/12/2018)
RR
Virginia
(1/12/2018)
RR
Washington
(1/12/2018)
RR
West Virginia
(1/12/2018)
RR
Wisconsin
(1/12/2018)
RR
Wyoming
(1/12/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/26/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/7/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/26/1996
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/2/2023
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/21/2005
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

RC
RBC CMA LTD
RBC CAPITAL MARKETS ARBITRAGE, S.A. | RBC CMA LTD | RBC CMA LLC

CRD#: 121263 / SEC#: , 8-65401

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

Main Address
Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGN
Mailing Address
3 World Financial Center 200 Vesey Street - 14th Floor, New York, NY 10281
Phone number
(212) 858-7000
Established
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ROYAL BANK HOLDING INC.DIRECT OWNER
GRANNIS, JOHNCHIEF OPERATING OFFICER2934841
JASNOSZ, MICHAEL EDWARDCHIEF COMPLIANCE OFFICER4386029
JIANG, HEPRINCIPAL OPERATIONS OFFICER5107323
MANNING, THOMAS JAMES IVPRESIDENT, CEO5182531
PODYMA, LIDIA ANETAPRINCIPAL FINANCIAL OFFICER5764487
ROSENBAUM, DANIEL PHILIPCHAIRMAN OF THE BOARD2797995

Disclosures

Regulatory Event6

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

RBC CMA LTD

CRD#: 121263New York, NY 10281

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