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Detailed Report
DANIEL DELLA ROSA
DANIEL DELLAROSA
CRD#: 2468171
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018202020222024IAPAULSON INVESTMENT COMPANY, LLC (CRD# 5670)2016 - 2017 (<1 year)IAAEGIS CAPITAL CORP. (CRD# 15007)2010 - 2016 (6 years)IAGUNNALLEN FINANCIAL, INC (CRD# 17609)2008 - 2010 (1 year)
Disclosure(s)
View By:
7/20/2023
Customer Dispute
Settled
11/23/2021
Regulatory
Final
5/18/2021
Regulatory
Final
1/18/2018
Financial
Final
3/16/2010
Judgment / Lien
2/13/2002
Customer Dispute
Award / Judgment
4/22/1999
Customer Dispute
Settled
Previous Registration(s)
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 07/18/2016 - 06/23/2017 PAULSON INVESTMENT COMPANY, LLC (CRD#:5670) Tampa, FL
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 04/21/2010 - 07/29/2016 AEGIS CAPITAL CORP. (CRD#:15007) TAMPA, FL
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 04/02/2008 - 03/30/2010 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.