David S. Goldring
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 Spencer Goldring, who also goes by David Spencer Goidring, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 1999 - June 24, 2002
EMPIRE CAPITAL GROUP, LLC
June 28, 1999 - August 17, 1999
INTL CUSTODY & CLEARING SOLUTIONS INC.
May 6, 1998 - June 3, 1999
PUGLISI & CO.
November 20, 1997 - April 27, 1998
CGS FINANCIAL INC.
March 18, 1994 - November 18, 1997
PEACOCK, HISLOP, STALEY & GIVEN, INC.
October 28, 1991 - February 9, 1994
AMERICA NORTHCOAST SECURITIES, INC.
May 18, 1989 - October 9, 1991
YAEGER SECURITIES, INC.
April 29, 1987 - May 16, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
EMPIRE CAPITAL GROUP, LLC
CRD#: 47179 / SEC#: , 8-51674
Contact information
Documents
Disclosures
| Arbitration | 1 |
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.
