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DP

Daniel R. Penza

ETC BROKERAGE SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 5181745
DP

Professional summary

Daniel Robert Penza, who also goes by Daniel R Penza, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Greenwood Village, Colorado.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2006. Daniel has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel R Penza

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Robert Penza's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 8, 2026 - Present

ETC BROKERAGE SERVICES, LLC

Office #1: 6000 Greenwood Plaza Blvd. Suite 100, Greenwood Village, CO 80111
BD
CRD#: 145276
Greenwood Village, CO
Past

August 16, 2006 - August 7, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/14/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/6/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EB
ETC BROKERAGE SERVICES, LLC
COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: , 8-67719

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
5430 Lbj Freeway Suite 320, Dallas, TX 75240
Mailing Address
1 Equity Way, Westlake, OH 44145
Phone number
(877) 403-0369
Established
Connecticut since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DESICH, JEFFREY ALANDIRECTOR2771522
DESICH, RICHARD ANTHONY JRDIRECTOR2634014
AMACHER, CATHERINE COMBSCEO3168184
FAZEL, MUSTAFACHIEF COMPLIANCE OFFICER2198857
MOORE, JONATHAN KIELPRESIDENT, COO2312492
TRUKSHANIN, MIKHAILCFO, PFO7436256
TRUKSHANIN, MIKHAILFINOP7436256

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ETC BROKERAGE SERVICES, LLC

CRD#: 145276Greenwood Village, CO 80111

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