Daniel J. Roby
Professional summary
Daniel James Roby, who also goes by Daniel Roby, Daniel James Roby, Daniel James Willard, Daniel Willard, is a registered financial professional currently at BMO CAPITAL MARKETS CORP. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2013. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Daniel James Roby's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 16, 2022 - Present
BMO CAPITAL MARKETS CORP.
Office #1: 151 West 42nd St, New York, NY 10036March 11, 2020 - September 7, 2022
BOFA SECURITIES, INC.
February 15, 2018 - March 11, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2018 - March 11, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 2016 - January 31, 2018
HARRISDIRECT LLC
November 9, 2016 - January 31, 2018
E*TRADE SECURITIES LLC
December 4, 2015 - October 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 4, 2015 - October 28, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2014 - October 7, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 18, 2013 - October 7, 2015
WELLS FARGO CLEARING SERVICES, 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
(9/16/2022)
Exams
FINRA
Current Firm
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WALISEVER, ARI | CHIEF COMPLIANCE OFFICER | 4425793 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
Red Flags
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