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DG

Daniel T. Golden

DWS DISTRIBUTORS
Jacksonville, FL 32256
Some features on this profile are disabled
CRD#: 4683312
DG

Professional summary

Daniel Todd Golden, who also goes by Todd Golden, is a registered financial professional currently at DWS DISTRIBUTORS, INC. located in Jacksonville, Florida.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 4 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd Golden

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 Todd Golden'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

June 15, 2016 - Present

DWS DISTRIBUTORS, INC.

Office #1: 5201 Gate Parkway, Jacksonville, FL 32256
BD
CRD#: 37306
Jacksonville, FL
Past

April 6, 2010 - June 2, 2016

AEGIS CAPITAL CORP.

RIA
CRD#: 15007
NEW YORK, NY
Past

March 23, 2010 - June 2, 2016

AEGIS CAPITAL CORP.

BD
CRD#: 15007
NEW YORK, NY
Past

February 19, 2010 - April 7, 2011

QUADSTAR CAPITAL ADVISORS, INC.

RIA
CRD#: 148872
NEW YORK, NY
Past

October 7, 2003 - March 26, 2010

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
NEW YORK, NY
Past

September 4, 2003 - March 26, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY

State Registrations and Notice Filings

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

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

RR
Florida
(8/9/2016)
RR
New York
(6/15/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/26/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/11/2006
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/3/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DWS DISTRIBUTORS, INC.
DEAWM DISTRIBUTORS, INC. | ZURICH KEMPER DISTRIBUTORS, INC. | SCUDDER DISTRIBUTORS, INC. | KEMPER DISTRIBUTORS, INC. | DWS SCUDDER DISTRIBUTORS, INC. | DWS INVESTMENTS DISTRIBUTORS, INC | DWS DISTRIBUTORS, INC. | DEUTSCHE AM DISTRIBUTORS, INC.

CRD#: 37306 / SEC#: , 8-47765

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
222 South Riverside Plaza, Chicago, IL 60606-5808
Mailing Address
875 Third Avenue 27th Floor- Mail Stop Nyc03-2720, New York, NY 10022
Phone number
(212) 454-8608
Established
Delaware since 09/20/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DWS INVESTMENT MANAGEMENT AMERICAS , INC.SHAREHOLDER
ABBOTT, KEVIN SCHIEF OPERATING OFFICER4210778
BALUYOT, RHEEZA RAMOSCHIEF FINANCIAL OFFICER8028310
CHELEL, NICOLE M.CHIEF COMPLIANCE OFFICER4748490
IKUSS, AMANDA JEANVICE PRESIDENT & DIRECTOR6602098
MAUTE, BRIAN CCHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT2929953
REUTER, MICHELLE SVICE PRESIDENT6572669
SHIELDS, JOHN POWELL JRDIRECTOR & VICE PRESIDENT1950330
WILCZEWSKI, JOEL JOHNVICE PRESIDENT2815498

Disclosures

Regulatory Event5
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

DWS DISTRIBUTORS, INC.

CRD#: 37306Jacksonville, FL 32256

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