David J. Gottfried

CABRERA CAPITAL MARKETS

NEW YORK, NY 10020

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CRD#: 1841664

Professional summary

David Joachim Gottfried, who also goes by David Gottfried, is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Gottfried

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) - BD

Click below to view David Joachim Gottfried'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®

None

Experience

Current

May 6, 2024 - Present

CABRERA CAPITAL MARKETS, LLC

Office #1: 1230 Avenue Of The Americas Ste. 1902, New York, NY 10020

CRD#: 10081

NEW YORK, NY

Past

December 15, 2023 - February 14, 2024

MBS SOURCE ETRADING, INC.

CRD#: 164958

MERCER ISLAND, WA

Past

September 5, 2018 - November 12, 2019

STONEX FINANCIAL INC.

CRD#: 45993

NEW YORK, NY

Past

June 4, 2004 - March 1, 2018

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

August 30, 1995 - August 5, 1997

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

June 18, 1993 - December 20, 1994

YAMAICHI INTERNATIONAL (AMERICA) INC.

CRD#: 909

NEW YORK, NY

Past

June 19, 1992 - May 7, 1993

REICH & CO., INC.

CRD#: 19611

Past

May 2, 1991 - March 10, 1992

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

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

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

New York
(5/15/2024)

Exams

State Security Law Exam

Series 63

Date: 1/27/2024

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: 4/30/1991

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CABRERA CAPITAL MARKETS, LLC

CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

227 W. Monroe St. Suite 3000, Chicago, IL 60606

Mailing Address

227 W. Monroe St. Suite 3000, Chicago, IL 60606

Phone number

(312) 236-8888

Established

Delaware since 04/10/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CABRERA CAPITAL, LLC	OWNER
RCF-CABRERA HOLDINGS, INC.	OWNER
AGUILAR, ROBERT LUIS	PRESIDENT	4860643
CABRERA, MARTIN [NMN] JR	CEO	2504167
WORF, JEFF ALLEN	CHIEF COMPLIANCE OFFICER	1416591

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

David J. Gottfried

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Joachim Gottfried's CRS (Customer Relationship Summary).

Certified licenses

Experience

MBS SOURCE ETRADING, INC.

STONEX FINANCIAL INC.

CANTOR FITZGERALD & CO.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

YAMAICHI INTERNATIONAL (AMERICA) INC.

REICH & CO., INC.

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/27/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/30/1991

FINRA

Current Firm

CABRERA CAPITAL MARKETS, LLC

Contact information

FINRA licenses (30 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CABRERA CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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