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Daniel Alan Goldman

BMO Capital Markets Corp.

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About Daniel Alan Goldman

Daniel Goldman is a financial professional with over 30 years of experience in the industry. Daniel is currently registered with BMO Capital Markets Corp., a leading financial institution. Prior to joining BMO Capital Markets Corp., Daniel held positions at KGS-ALPHA CAPITAL MARKETS, L.P., CROSS POINT CAPITAL LLC, and CITIGROUP GLOBAL MARKETS INC. Daniel holds a variety of licenses and registrations, including Series 7, 9, 10, 24, 63, 99TO and SIE. Daniel is a licensed principal and has a strong background in securities trading and research.

Firm Information

Daniel Goldman is currently registered with BMO Capital Markets Corp.. BMO Capital Markets Corp. is a Corporation headquartered in NEW YORK, NY. Founded in March 1988, the firm has a broad reach with state-level registrations in all 50 states plus Puerto Rico and the Virgin Islands. It offers investment advisory services, including portfolio management for pooled investment vehicles, and holds approximately $10 billion - $50 billion in assets. BMO Capital Markets Corp. primarily serves investment companies and pooled investment vehicles, with a total of 113 clients and $796,416,350 in regulatory assets under management.
BMO Capital Markets Corp.

151 WEST 42ND STREET

NEW YORK, NY 10036

$796.42M

Assets Under Management

113

Total Clients

178

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.

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provision of securities trading ideas and research

Provision of securities trading ideas and research

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fees for securities trading ideas and research

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Daniel Goldman’s Registration & Firm History

AZ

09/01/2018 - Present

BMO Capital Markets Corp. (AVONDALE AZ)

NY

05/04/2010 - 09/01/2018

KGS-ALPHA CAPITAL MARKETS, L.P. (New York NY)

NY

08/18/2009 - 12/07/2009

CROSS POINT CAPITAL LLC (NEW YORK NY)

NY

11/28/1997 - 06/05/2007

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

09/24/1985 - 09/01/1998

SALOMON BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/18/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/19/2004

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/09/2004

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 09/24/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/21/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

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

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Daniel Alan Goldman.
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