Daniel B. Borstein

BOON CAPITAL ADVISORS LLC

Northbrook, IL 60062-2702

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CRD#: 2807765

Professional summary

Daniel Benjamin Borstein is a registered financial advisor currently at BOON CAPITAL ADVISORS LLC located in Northbrook, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Daniel has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Daniel Benjamin Borstein's CRS (Customer Relationship Summary).

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 19, 2015 - Present

BOON CAPITAL ADVISORS LLC

Office #1: 666 Dundee Road, Suite 1701, Northbrook, IL 60062-2702

RIA

CRD#: 174016

Northbrook, IL

Past

June 24, 2014 - February 19, 2015

SANDLAPPER SECURITIES, LLC

CRD#: 137906

Northbrook, IL

Past

April 19, 2013 - February 19, 2015

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

NORTHBROOK, IL

Past

April 19, 2013 - August 26, 2014

COLONY PARK FINANCIAL SERVICES LLC.

CRD#: 41534

NORTHBROOK, IL

Past

June 1, 2009 - May 2, 2013

MORGAN STANLEY

RIA

CRD#: 149777

DEERFIELD, IL

Past

June 1, 2009 - May 2, 2013

MORGAN STANLEY

CRD#: 149777

DEERFIELD, IL

Past

July 6, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DEERFIELD, IL

Past

July 6, 2004 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DEERFIELD, IL

Past

November 29, 2000 - July 23, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

November 9, 1998 - February 23, 2000

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

October 9, 1996 - November 9, 1998

KEY CAPITAL MARKETS, INC.

CRD#: 39832

CLEVELAND, OH

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".

BOON CAPITAL ADVISORS LLC

BOON CAPITAL ADVISORS LLC | BOON CAPITAL ADVISORS, LLC

CRD#: 174016 / SEC#: 801-130257

RIA

Registered Investment Advisory firm - (5/17/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/26/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/19/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/27/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/13/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/8/1996

General Securities Representative Examination

Current Firm

BOON CAPITAL ADVISORS LLC

BOON CAPITAL ADVISORS LLC | BOON CAPITAL ADVISORS, LLC

CRD#: 174016 / SEC#: 801-130257

RIA

Registered Investment Advisory firm - (5/17/2024 Approved)

Illinois

Registered Investment Advisory firm - (6/26/2024 Terminated)

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Contact information

Main Address

666 Dundee Road, Suite 1701, Northbrook, IL 60062-2702

Mailing Address

Phone number

(224) 326-2044

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BOON CAPITAL ADV PART 2A (2/27/2025)

Regulatory assets under management

Total Number of Accounts	291
AUM (Assets Under Management)	$ 158,731,756

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Daniel B. Borstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Benjamin Borstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

SANDLAPPER SECURITIES, LLC

COLONY PARK FINANCIAL SERVICES LLC.

COLONY PARK FINANCIAL SERVICES LLC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

GOLDMAN SACHS & CO. LLC

KEYBANC CAPITAL MARKETS INC.

KEY CAPITAL MARKETS, INC.

Primary Firm SEC Registration

BOON CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/27/2001

Series 63

Date: 11/5/1996

SIE

Date: 2/19/2015

Series 31

Date: 3/13/2006

Series 7

Date: 10/8/1996

Current Firm

BOON CAPITAL ADVISORS LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BOON CAPITAL ADVISORS LLC

TRUST BUT VERIFY

Contact information

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