Daniel J. Penley
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 Joseph Penley 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 44, Series 55, Series 7, Series 14 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
February 1, 2017 - August 30, 2023
BOERBOEL CAPITAL LLC
March 10, 2011 - March 2, 2015
SPOT TRADING L.L.C.
January 25, 2010 - August 19, 2010
ICM SECURITIES, LLC
August 29, 2008 - January 21, 2010
FOX RIVER SECURITIES, LLC
December 10, 2004 - May 22, 2008
ALLSTON TRADING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 44
Date: 4/22/2009
PCX Market Maker ExamSeries 55
Date: 1/2/2007
Limited Representative-Equity Trader ExamCurrent Firm
BOERBOEL CAPITAL LLC
CRD#: 286431 / SEC#: , 8-69887
Contact information
Documents
Red Flags
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