Douglas Martin Rotela
Professional Summary
Douglas Martin Rotela is a registered financial advisor currently at BLOOMBERG TRADEBOOK LLC located in New York, New York and BLOOMBERG TRADEBOOK CANADA COMPANY located in New York, New York. Douglas is registered as a RR (Registered Representative) and started their career in finance in 2006. Douglas has worked at 2 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 53, Series 24 and Series 4 exams.
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
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
BLOOMBERG TRADEBOOK CANADA COMPANY
Contact Information
Main Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1Mailing Address
Brookfield Place,td Canada Trust Tower,161 Bay St. Suite 4300, Toronto, Ontario, M5J 2S1Phone Number
(212) 617-4865Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | — |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| ROTELA, DOUGLAS MARTIN | CHIEF COMPLIANCE OFFICER | 5127496 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
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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
(11/3/2021)
(12/9/2025)
(11/3/2021)
(6/21/2006)
(1/3/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Martin Rotela's CRS (Customer Relationship Summary).
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