Nathaniel Doromal
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.
Nathaniel Doromal, who also goes by Nathaniel Ryan Doromal, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 2008. Nathaniel had worked at 4 firms and has passed the Series 57, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2022 - February 5, 2024
DRW SECURITIES, L.L.C.
December 3, 2018 - July 27, 2021
IMC FINANCIAL MARKETS
April 30, 2014 - July 29, 2015
CMT TRADING LLC
September 18, 2008 - January 26, 2009
TD OPTIONS 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 55
Date: 8/18/2014
Limited Representative-Equity Trader ExamCurrent Firm
DRW SECURITIES, L.L.C.
CRD#: 45908 / SEC#: , 8-51241
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRW HOLDINGS, LLC | MEMBER | |
| ARMOUR II, ROBERT WILLIAM | CHIEF COMPLIANCE OFFICER | 4447215 |
| CALDWELL, CHRISTOPHER ROBERT | DIRECTOR OF BROKER DEALER COMPLIANCE | 4182335 |
| CALIXTO, CHRIZITA | CHIEF FINANCIAL OFFICER | 6564070 |
| DRW ASSOCIATES LLC | MEMBER | |
| DRW MANAGEMENT, LLC | MANAGER | |
| FOWLER, SCOTT ALAN | FINOP, COO, PFO, POO | 3004363 |
| GARCHIK, ADAM TODD | CEO | 2967638 |
Disclosures
| Regulatory Event | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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