DG
Daniel F. Goss
ROBERT W. BAIRD & CO.
Wexford, PA 15090
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CRD#: 2027057
DG
Professional summary
Daniel Friedrich Goss, who also goes by Daniel Friedrich Goss, Daniel Goss, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Wexford, Pennsylvania.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Daniel has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 6, Series 7 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel Friedrich Goss | Daniel Goss
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.
Name/Address: Rich-Mar Rotary Club 1 Arnold Palmer Dr Mars PA 16046 Start Date: 2015 Hours Spent: 8 hours/month Hours Spent During Trading: 4 Role/Responsibility: Board member; Investment/Finance Committee Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Friedrich Goss's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Friedrich Goss'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®
NoneExperience
Current
October 21, 2022 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 12570 Perry Highway Suite 100, Wexford, PA 15090RIA
BD
CRD#: 8158
Wexford, PA
Current
October 21, 2022 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 12570 Perry Highway Suite 100, Wexford, PA 15090RIA
BD
CRD#: 8158
Wexford, PA
Past
April 12, 2019 - October 21, 2022
HEFREN-TILLOTSON, INC.
RIA
CRD#: 53
WEXFORD, PA
Past
February 15, 2019 - October 21, 2022
HEFREN-TILLOTSON, INC.
BD
CRD#: 53
WEXFORD, PA
Past
November 12, 2015 - June 6, 2016
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
ALLISON PARK, PA
Past
June 11, 2015 - June 6, 2016
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
ALLISON PARK, PA
Past
December 23, 2014 - February 6, 2015
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PITTSBURGH, PA
Past
April 3, 2008 - August 8, 2008
SUNGARD INSTITUTIONAL BROKERAGE INC.
BD
CRD#: 8509
GENEVA, IL
Past
March 25, 2002 - April 10, 2007
FEDERATED INVESTMENT COUNSELING
RIA
CRD#: 105325
PITTSBURGH, PA
Past
February 14, 1990 - March 21, 2007
FEDERATED SECURITIES CORP.
BD
CRD#: 5009
PITTSBURGH, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
IAR
California(10/21/2022)
RR
California(6/29/2023)
RR
Florida(10/21/2022)
RR
Kentucky(1/8/2025)
RR
Ohio(10/21/2022)
RR
Pennsylvania(10/21/2022)
IAR
Pennsylvania(10/21/2022)
RR
South Carolina(10/21/2022)
IAR
Texas(10/21/2022)
RR
Texas(10/26/2022)
RR
Utah(10/26/2022)
RR
Virginia(10/21/2022)
RR
West Virginia(10/26/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/15/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 10/11/1995
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
