Daniel M. Rosenthal
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 Max Rosenthal was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 5 firms and has passed the Series 63, Series 99TO, 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
July 18, 2024 - February 4, 2025
BRUCE MARKETS LLC
November 13, 2020 - January 23, 2024
BRUCE MARKETS LLC
July 18, 2018 - June 21, 2019
DOUGH LLC
January 26, 2017 - July 18, 2018
APEX CLEARING CORPORATION
December 18, 2015 - February 3, 2017
PEAK6 CAPITAL MANAGEMENT LLC
June 5, 2012 - August 3, 2016
APEX CLEARING CORPORATION
September 12, 2011 - June 13, 2012
DOUGH LLC
May 12, 2008 - June 13, 2012
PEAK6 CAPITAL MANAGEMENT LLC
November 3, 2005 - April 28, 2008
OPTIONSHOUSE1, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
BRUCE MARKETS LLC
CRD#: 300209 / SEC#: , 8-70286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRUCE MARKETS HOLDINGS LLC | MANAGING MEMBER | |
| D'AUGE, RALPH ANTHONY | FINOP/PRINCIPAL FINANCIAL OFFICER | 4664611 |
| INGLOT, KATARZYNA | CHIEF COMPLIANCE OFFICER | 4902558 |
| LISH, MICHAEL K | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 4539941 |
| RUHANA, GEORGE WILLIAM | EXECUTIVE CHAIR - BOARD OF DIRECTORS, BRUCE MARKETS HOLDINGS LLC. | 5517069 |
| WALLACH, JASON | CHIEF EXECUTIVE OFFICER | 4918286 |
Red Flags
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