Douglas M. Rotela
Professional summary
Douglas Martin Rotela is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Martin Rotela's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2006 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 731 Lexington Ave, New York, NY 10022November 3, 2021 - Present
BLOOMBERG TRADEBOOK CANADA COMPANY
Office #1: 731 Lexington Ave, New York, NY 10022State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/3/2021)
(11/3/2021)
(6/21/2006)
(1/3/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
BLOOMBERG TRADEBOOK CANADA COMPANY
CRD#: 313267 / SEC#: , 8-70683
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLOOMBERG CANADA LLC | SOLE SHAREHOLDER | |
| BENDER, GREGORY | DIRECTOR | 5601000 |
| BRIDGEFORD, SOH HYONG | CHIEF COMPLIANCE OFFICER | 7114514 |
| KAPLAN, PAUL WILLIAM | PRESIDENT, DIRECTOR | 4092439 |
| MILHAM, CHRISTOPHER MICHAEL | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 3092157 |
| SANTORE, RICHARD RAYMOND III | DIRECTOR | 4978129 |
Red Flags
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