Daniel W. Goggins

CHELSEA ADVISORY SERVICES,

Ludlow, MA

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CRD#: 1542737

Professional summary

Daniel W Goggins, who also goes by Daniel Walker Goggins, is a registered financial advisor currently at CHELSEA ADVISORY SERVICES, INC located in Ludlow, Massachusetts and CHELSEA FINANCIAL SERVICES located in Staten Island, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Daniel has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel Walker Goggins

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.

Dan & Lisa Goggins; Not investment related; 68 Mountain View St Ludlow MA 01056; Rental Real Estate from residential address; Owner/Partner; 7/2009-Present; 20 hrs/month; 0 trading/hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel W Goggins's CRS (Customer Relationship Summary).

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

March 13, 2024 - Present

CHELSEA ADVISORY SERVICES, INC

RIA

CRD#: 150791

Ludlow, MA

Current

February 29, 2024 - Present

CHELSEA FINANCIAL SERVICES

Office #1: 242 Main Street, Staten Island, NY 10307

CRD#: 47770

Staten Island, NY

Past

October 17, 2022 - June 1, 2023

DAVINCI CAPITAL MANAGEMENT, INC.

RIA

CRD#: 46897

Ludlow, MA

Past

October 14, 2022 - June 1, 2023

DAVINCI CAPITAL MANAGEMENT, INC.

CRD#: 46897

CAMBRIDGE, MA

Past

September 11, 2018 - November 23, 2020

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

CINCINNATI, OH

Past

March 25, 2017 - September 20, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

HOLYOKE, MA

Past

August 25, 2009 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HOLYOKE, MA

Past

February 26, 2008 - August 25, 2009

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

SPRINGFIELD, MA

Past

January 1, 2005 - August 25, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

SPRINGFIELD, MA

Past

December 17, 2001 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

July 19, 1990 - December 13, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 19, 1990 - December 13, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CHELSEA ADVISORY SERVICES, INC

CRD#: 150791 / SEC#: 801-112349

RIA

Registered Investment Advisory firm - (1/19/2018 Approved)

California

Registered Investment Advisory firm - (2/23/2018 Terminated)

Connecticut

Registered Investment Advisory firm - (1/25/2018 Terminated)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

Nevada

Registered Investment Advisory firm - (2/28/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (2/6/2018 Terminated)

New York

Registered Investment Advisory firm - (1/24/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/25/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (1/24/2018 Terminated)

Texas

Registered Investment Advisory firm - (1/24/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Maryland
(10/29/2024)

Massachusetts
(3/1/2024)

IAR

Massachusetts
(3/13/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/23/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/6/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CHELSEA ADVISORY SERVICES, INC

CRD#: 150791 / SEC#: 801-112349

RIA

Registered Investment Advisory firm - (1/19/2018 Approved)

California

Registered Investment Advisory firm - (2/23/2018 Terminated)

Connecticut

Registered Investment Advisory firm - (1/25/2018 Terminated)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

Nevada

Registered Investment Advisory firm - (2/28/2018 Terminated)

New Jersey

Registered Investment Advisory firm - (2/6/2018 Terminated)

New York

Registered Investment Advisory firm - (1/24/2018 Terminated)

Pennsylvania

Registered Investment Advisory firm - (1/25/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (1/24/2018 Terminated)

Texas

Registered Investment Advisory firm - (1/24/2018 Terminated)

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Contact information

Main Address

242 Main Street, Staten Island, NY 10307

Mailing Address

Phone number

(718) 967-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHELSEA ADVISORY ADV 2A - FEBRUARY 2025 (2/9/2025)

Regulatory assets under management

Total Number of Accounts	536
AUM (Assets Under Management)	$ 126,883,334

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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Firm Stability Insights

Daniel W. Goggins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel W Goggins's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHELSEA FINANCIAL SERVICES

DAVINCI CAPITAL MANAGEMENT, INC.

DAVINCI CAPITAL MANAGEMENT, INC.

THE O.N. EQUITY SALES COMPANY

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

CETERA INVESTMENT SERVICES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CHELSEA ADVISORY SERVICES, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2008

Series 63

Date: 1/25/1991

SIE

Date: 10/1/2018

Series 7

Date: 8/6/2004

Series 6

Date: 7/13/1990

FINRA

Current Firm

CHELSEA ADVISORY SERVICES, INC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHELSEA ADVISORY SERVICES, INC

TRUST BUT VERIFY

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