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Ronald D Dau

Virtu Americas LLC

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About Ronald D Dau

Ronald Dau is a financial advisor with Virtu Americas LLC based in Short Hills, NJ. Ronald has been in the financial industry since 2019. Ronald has a broad range of licenses and registrations including Series 7, Series 3, Series 63, and Series 30. Ronald has been registered in New Jersey, New York and a variety of other states across the country. Ronald is currently registered with Virtu Americas LLC. Ronald's previous experience includes roles at TJM INVESTMENTS, LLC.

Firm Information

Ronald Dau is currently registered with Virtu Americas LLC. Virtu Americas LLC is a Limited Liability Company formed in February 2009 and approved in all 50 states and the District of Columbia. The firm has been registered with the SEC and has a total of 53 regulatory and civil event disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

163

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Ronald Dau’s Registration & Firm History

NJ

04/07/2021 - Present

Virtu Americas LLC (Short Hills NJ)

FL

11/05/2020 - 04/08/2021

TJM INVESTMENTS, LLC (Boca Raton FL)

NY

02/05/2015 - 04/01/2016

TJM INVESTMENTS, LLC (New York NY)

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Licenses & Designations

BC

Issued 12/26/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/11/2014

Series 30 - NFA Branch Manager Examination

BC

Issued 10/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/07/2020

Series 7TO - General Securities Representative Examination

BC

Issued 03/06/2020

Series 3 - National Commodity Futures Examination

BC

Issued 02/05/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Ronald D Dau.
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