FacultyFaculty/Author Profile

Keith M. Golden

Convergex Group LLC
Assoc General Counsel
New York, NY, USA


Keith M. Golden is a Managing Director and Associate General Counsel at Convergex Group.  In this role, Mr. Golden provides legal and regulatory coverage to Convergex’s institutional broker-dealers and other regulated and unregulated businesses.  He advises on issues relating to cash equities, listed options, ETFs, electronic and algorithmic trading, portfolio trading, alternative trading systems, commission management, clearing, market structure, and registration of broker-dealers and investment advisors.  Prior to working at Convergex, Mr. Golden was the General Counsel and Chief Compliance Officer at M. R. Beal & Company from 1999 to 2006.  He has held various other legal and compliance roles throughout his more than twenty year career in financial services.  He received a B.A. from Duke University and his J.D. from Brooklyn Law School.  He is a member of the New York and New Jersey bars.

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