Daniel J. Kaufman
Professional summary
Daniel Joseph Kaufman is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1998. Daniel has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph Kaufman's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2014 - Present
CLEARPOOL EXECUTION SERVICES, LLC
Office #1: 17 State Street 38th Floor, New York, NY, 10004January 3, 2011 - October 31, 2013
VIRTU AMERICAS LLC
August 12, 2009 - January 3, 2011
KNIGHT DIRECT LLC
August 29, 2008 - August 3, 2009
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
October 17, 2006 - August 18, 2008
CITIGROUP GLOBAL MARKETS INC.
September 4, 2003 - March 23, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2003 - July 18, 2003
SAMCO FINANCIAL SERVICES, INC.
January 9, 2003 - January 30, 2003
RUMSON CAPITAL, LLC
May 29, 2001 - December 16, 2002
RUMSON CAPITAL, LLC
January 24, 2000 - May 30, 2001
LIGHTSPEED PROFESSIONAL TRADING LLC
October 7, 1998 - February 10, 2000
LEHMAN BROTHERS 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
(10/28/2016)
(9/12/2014)
(9/12/2014)
(10/28/2016)
(10/28/2016)
(9/12/2014)
(10/28/2016)
(9/12/2014)
(10/28/2016)
(10/28/2016)
(9/12/2014)
(10/28/2016)
(9/25/2014)
(4/15/2019)
(9/12/2014)
(9/12/2014)
(10/28/2016)
(9/12/2014)
(10/28/2016)
(9/12/2014)
(10/28/2016)
(8/12/2020)
(9/12/2014)
(10/28/2016)
(10/9/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/23/2007
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEARPOOL EXECUTION SERVICES, LLC
CRD#: 168490 / SEC#: , 8-69313
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 19 |
Red Flags
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