David B. Goebels

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CRD#: 1250894

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Brian Goebels was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 15, 2009 - May 3, 2012

WEEDEN & CO.L.P.

CRD#: 16835

GREENBRAE, CA

Past

March 9, 2009 - January 4, 2011

PRAGMA LLC

CRD#: 136453

GREENBRAE, CA

Past

September 25, 2006 - February 5, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN FRANCISCO, CA

Past

July 20, 2005 - August 15, 2006

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

June 29, 2005 - August 4, 2005

LAVA TRADING, INC.

CRD#: 133804

NEW YORK, NY

Past

October 25, 2004 - July 12, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 31, 1997 - June 21, 2004

BRIDGE TRADING COMPANY

CRD#: 6822

ST. LOUIS, MO

Past

February 20, 1995 - March 13, 1995

S F SENTRY SECURITIES, INC.

CRD#: 27432

SAN FRANCISCO, CA

Past

January 14, 1991 - July 28, 1993

CAPIS

CRD#: 7551

DALLAS, TX

Past

September 20, 1989 - December 21, 1990

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

April 18, 1988 - August 19, 1989

WEEDEN & CO.L.P.

CRD#: 16835

GREENWICH, CT

Past

December 9, 1986 - February 25, 1988

JEFFERIES LLC

CRD#: 2347

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 7/24/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/22/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/11/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

WEEDEN & CO.L.P.

WEEDEN & CO. INCORPORATED | WEEDEN & CO.L.P. | WEEDEN & CO., INC.

CRD#: 16835 / SEC#: 801-57163, 8-37267

Terminated by SEC on 11/24/2019

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Contact information

Main Address

145 Mason Street, Greenwich, CT 06830

Mailing Address

Phone number

Established

Delaware since 09/05/1986

Firm type

Partnership

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
PIPER JAFFRAY COMPANIES	100% OWNER
MCCAGUE, ANNCHARLOTTE	CHIEF COMPLIANCE OFFICER	1108448

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

David B. Goebels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRAGMA LLC

CITIGROUP GLOBAL MARKETS INC.

UBS SECURITIES LLC

LAVA TRADING, INC.

CITIGROUP GLOBAL MARKETS INC.

BRIDGE TRADING COMPANY

S F SENTRY SECURITIES, INC.

CAPIS

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

WEEDEN & CO.L.P.

JEFFERIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/1998

Series 55

Date: 7/24/2007

Series 7

Date: 11/15/1986

Series 10

Date: 1/22/2001

Series 9

Date: 9/11/2000

Current Firm

WEEDEN & CO.L.P.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

WEEDEN & CO.L.P.

TRUST BUT VERIFY

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