Career
Dennis Lowenfels has been Chief Compliance Officer of Exchange Traded Concepts since May 2018. Dennis Lowenfels is a control person of the firm and directly owns under 5% of it.
Exchange Traded Concepts, LLC is an Oklahoma City, OK firm with $23B under management, 130 clients and 13 advisers across 2 offices, as of its February 2026 filing.
No adviser firm registrations are on Dennis Lowenfels’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 30 | NFA Branch Manager Examination | 18 August 2018 |
| Series 3 | National Commodity Futures Examination | 17 July 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 22 September 2006 |
| Series 55 | Limited Representative-Equity Trader Exam | 29 May 2001 |
| Series 4 | Registered Options Principal Examination | 3 May 2000 |
| Series 24 | General Securities Principal Examination | 15 March 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 December 1999 |
| Series 7 | General Securities Representative Examination | 16 November 1999 |
- Name
- NFA Branch Manager Examination
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- Limited Representative-Equity Trader Exam
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Dennis Paul Lowenfels
- CRD
- 4030379
- Firm bio
- exchangetradedconcepts.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Dennis Lowenfels work?
Dennis Lowenfels has been Chief Compliance Officer of Exchange Traded Concepts, LLC since May 2018, and is a control person of the firm.
Does Dennis Lowenfels have a current investment-adviser registration?
Dennis Lowenfels has a current broker registration and no current investment-adviser registration.
What exams has Dennis Lowenfels passed?
Dennis Lowenfels has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 4, Series 55, Series 87, Series 3 and Series 30. The earliest, the Series 7, was passed in November 1999. FINRA credited Dennis Lowenfels with the SIE, which began in October 2018.
Leadership at Exchange Traded Concepts
- Richard MalinowskiCo- Chief Executive Officer and General Counsel
- Andrew SerowikCo-Chief Executive Officer and Portfolio Manager
- Randal TaylorChief Financial Officer
- Richard HoganOfficer
- James StevensChief Business Officer