DG
David W. Googe
VOYA FINANCIAL ADVISORS
Winston Salem, NC 27106
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CRD#: 1571564
DG
Professional summary
David Wain Googe, AIF® is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Winston Salem, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 723 COLISEUM DR SUITE 202; WINSTON-SALEM; NC; 27106; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/1/2009; 6; 2; I ASSIST A HANDFUL OF IND AGTS IN PLACING FIXED INS/ANNTS THRGH INSRNCE CARRIERS|NAME OF ENTITY:SOUTHEASTERN PENSION CO; No; 707 COLISEUM PLAZA CT; WINSTON-SALEM; NC; 27106; PENSION PLAN ADMINISTRATORS; PRESIDENT; 10/1/2009; 8; 0; REVIEW MONTHLY FINANCIAL STATEMENTS AND BUSINESS ACTIVITY,FULL RESPONSBIBILITY FOR COMPANY.|NAME OF ENTITY:GOOGE FINANCIAL.SERVICES, INC; No; 723 COLISEUM DR SUITE 202; WINSTON SALEM; NC; 27106; FINANCIAL SERVICES/DBA; OWNER/PRESIDENT; 3/1/1990; 160; 160; SALE AND SERVICE OF INSURNACE,SECURITIES AND INVESTMENT PRODUCTS.| MIRACLES IN SIGHT POSITION: Honorary Capital Campaign Cabinet Member NATURE: I have been approached to be an Honorary Cabinet member for a local community Capital Campaign for Miracles in Sight. The purpose for the campaign is to raise approximately 3,500,000 dollars to purchase a new building for expansion. I am lending my name to the campaign for community fund raising efforts. I would NOT be paid for this honorary position. I would attend a few scheduled meetings of the honorary cabinet. I would not be actively out raising donations for this campaign. I am a past board chair person (2000). INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2023 ADDRESS: 3900 Westpoint Blvd, Suite F, Winston-Salem NC 27103, United States DESCRIPTION: My duties would be to lend my name for capital campaign fund raising activity in the community. I may have to attend a few honorary cabinet meetings.
CRS (Client Relationship Summary) - RIA
Click below to view David Wain Googe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Wain Googe'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®
Experience
Current
April 1, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 723 Coliseum Drive Ste 202, Winston Salem, NC 27106RIA
BD
CRD#: 2882
Winston Salem, NC
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 723 Coliseum Drive Ste 202, Winston Salem, NC 27106RIA
BD
CRD#: 2882
Winston Salem, NC
Past
September 29, 1994 - October 4, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINSTON SALEM, NC
Past
October 24, 1986 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
Arizona(6/20/2024)
RR
Arkansas(1/7/2016)
RR
California(1/7/2020)
RR
Colorado(1/3/2011)
RR
Florida(7/13/2011)
RR
Georgia(2/15/2011)
RR
Mississippi(3/17/2025)
RR
North Carolina(1/3/2011)
IAR
North Carolina(4/1/2015)
RR
Ohio(6/20/2024)
RR
Puerto Rico(3/1/2021)
RR
South Carolina(1/3/2011)
RR
Tennessee(12/3/2012)
RR
Texas(3/17/2025)
IAR
Texas(3/17/2025)
RR
Virginia(1/3/2011)
RR
West Virginia(1/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Winston Salem, NC 27106TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
