Daniel K. Josephs
Professional summary
Daniel Klein Josephs, who also goes by Daniel Josephs, is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel Klein Josephs's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 29, 2019 - Present
ERNST & YOUNG CAPITAL ADVISORS, LLC
Office #1: One Manhattan West, New York, NY 10001August 27, 2007 - June 12, 2019
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/23/2020)
(6/27/2019)
(4/8/2020)
(5/29/2019)
(4/8/2020)
(6/27/2019)
(4/8/2020)
(4/8/2020)
(6/27/2019)
(10/17/2025)
(4/8/2020)
(5/29/2019)
(7/15/2020)
(5/28/2025)
(7/15/2020)
(5/29/2019)
(4/8/2020)
(6/27/2019)
(4/8/2020)
(4/8/2020)
(4/8/2020)
(4/8/2020)
(4/8/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
