Daniel C. Mcbroom

CAPSTONE PARTNERS

Denver, CO 80202

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CRD#: 5169966

Professional summary

Daniel Craig Mcbroom, who also goes by Daniel C Mcbroom, is a registered financial professional currently at CAPSTONE PARTNERS located in Denver, Colorado.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2006. Daniel has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 79, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel C Mcbroom

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 Craig Mcbroom'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

May 16, 2018 - Present

CAPSTONE PARTNERS

Office #1: 1225 17th Street Suite 750, Denver, CO 80202

CRD#: 132185

Denver, CO

Past

August 29, 2011 - November 14, 2018

HEADWATERS BD, LLC

CRD#: 117042

DENVER, CO

Past

July 31, 2007 - March 5, 2009

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 24, 2006 - July 25, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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

Colorado
(5/16/2018)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/19/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/25/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 10/5/2007

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/23/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPSTONE PARTNERS

CAPSTONE CAPITAL MARKETS LLC | CAPSTONE PARTNERS | CAPSTONE HEADWATERS

CRD#: 132185 / SEC#: , 8-66572

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

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Contact information

Main Address

10 Post Office Square Suite 800n, Boston, MA 02109

Mailing Address

10 Post Office Square Suite 800n, Boston, MA 02109

Phone number

(617) 619-3300

Established

Delaware since 04/08/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPSTONE CORPORATE FINANCE LLC	DIRECT OWNER
BEEKMAN, TODD ANDREW	DIRECTOR	6291198
CASPER, MARK VERNON JR.	CHIEF FINANCIAL OFFICER	6682711
DAHLKE, STEPHEN MATTHEW	CHIEF COMPLIANCE OFFICER	2577928
FERRARA, JOHN MARIO II	PRESIDENT	2097226
JANSON, PAUL EDWARD	DIRECTOR	4992234
KLEINMAN, SCOTT DAVID	DIRECTOR	2357636
MILCETICH, MATTHEW LOUIS	EXECUTIVE MANAGING DIRECTOR	6419334
VALDIVIA, SERENA	AML OFFICER	7790899

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Daniel C. Mcbroom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Craig Mcbroom's CRS (Customer Relationship Summary).

Certified licenses

Experience

HEADWATERS BD, LLC

GOLDMAN SACHS & CO. LLC

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2007

Series 63

Date: 9/28/2006

SIE

Date: 10/1/2018

Series 79

Date: 8/25/2011

Series 3

Date: 10/5/2007

Series 7

Date: 10/23/2006

FINRA

Current Firm

CAPSTONE PARTNERS

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPSTONE PARTNERS

TRUST BUT VERIFY

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