Daniel J. Goggins

STONEPINE ADVISORS

ENGLEWOOD, CO 80112

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CRD#: 1587391

Professional summary

Daniel Joseph Goggins is a registered financial professional currently at STONEPINE ADVISORS, LLC located in Englewood, Colorado.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Joseph Goggins's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 18, 2021 - Present

STONEPINE ADVISORS, LLC

Office #1: 8310 S Valley Highway Suite 300, Englewood, CO 80112

CRD#: 154217

ENGLEWOOD, CO

Past

July 1, 2009 - February 19, 2021

WELLS FARGO SECURITIES, LLC

CRD#: 126292

SAN FRANCISCO, CA

Past

September 25, 2002 - July 1, 2009

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

March 19, 1997 - August 28, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

May 11, 1994 - February 11, 1997

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

August 12, 1992 - May 16, 1994

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

October 16, 1989 - August 17, 1992

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

October 6, 1987 - October 19, 1989

AMERICAN CAPITAL EQUITIES, INC.

CRD#: 13272

Past

February 24, 1987 - November 3, 1987

MORISON SECURITIES, INC.

CRD#: 8097

KANSAS CITY, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/18/2021)

Exams

State Security Law Exam

Series 63

Date: 12/13/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 2/7/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STONEPINE ADVISORS, LLC

STONEPINE ADVISORS, LLC | STONEPINE SECURITIES LLC

CRD#: 154217 / SEC#: , 8-68618

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

8310 S Valley Highway Suite 300, Englewood, CO 80112

Mailing Address

8310 S Valley Highway Suite 300, Englewood, CO 80112

Phone number

(650) 866-5371

Established

California since 04/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
REILLY, JAMES FRANCIS	CCO, EXEC. REP., AML SUPER.
CAMPBELL, ROBERT	FINOP	1349154

Red Flags

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Advisor Monitoring

Firm Stability Insights

Daniel J. Goggins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Joseph Goggins's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO SECURITIES, LLC

WELLS FARGO SECURITIES, LLC

J.P. MORGAN SECURITIES INC.

MORGAN STANLEY & CO. LLC

SBC WARBURG DILLON READ INC.

WALNUT STREET SECURITIES, INC.

AMERICAN CAPITAL EQUITIES, INC.

MORISON SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/1986

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/21/1987

Series 14

Date: 1/2/2023

Series 24

Date: 2/7/2001

FINRA

Current Firm

STONEPINE ADVISORS, LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

STONEPINE ADVISORS, LLC

TRUST BUT VERIFY

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