WG
William D. Gotses
COLORADO FINANCIAL SERVICE
LA JOLLA, CA
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CRD#: 1894852
WG
Professional summary
William Dan Gotses, who also goes by Bill Gotses, is a registered financial advisor currently at COLORADO FINANCIAL SERVICE CORPORATION located in La Jolla, California.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. William has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Gotses
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.
(1) Gotses Financial Services, LLC, La Jolla, CA; created for DBA; Start Date: 2/2017; Position: Managing Member; Time Spent: 0 per month / 0 during trading hours; (2) INSURANCE IMOS - INSUREMARK, ADVISORS EXCEL, PACIFIC SOUTHWEST FINANCIAL, ROCKY MOUNTAIN INSURANCE NETWORK / NOT INVESTMENT RELATED / 7907 CAMINITO DEL CID LA JOLLA, CA 92037 / 20 HOURS PER MONTH / INSURANCE PRODUCTS AND SERVICES (3) WILLIAM D GOTSES LLC; INVESTMENT-RELATED; SAN DIEGO, CA; PROPERTY OWNER IN LLC; MEMBER OF LLC; MEMBER; 1/2008; 0 HOURS/MONTH; 0 HOURS/TRADING; REAL ESTATE/PROPERTY OWNER. (4)NIPSY PROPERTIES 1 LLC; INVESTMENT-RELATED; SAN DIEGO, CA; REAL ESTATE; MEMBERSHIP INTEREST IN LLC WHICH OWNS REAL ESTATE; MEMBER OF LLC; 2000; 0 HOURS/MONTH; 0 HOURS/TRADING; BUY/SELL REAL ESTATE. (5) ADRIATIC VENTURES LLC / NOT INVESTMENT RELATED / REAL ESTATE HOLDING ENTITY / 15 GLITTERING SKY, ALISO VIEJO, CA 92656 / 15 HOURS OUTSIDE MARKET HOURS / OWNER AND MEMBER (6) HIGH PERFORMANCE MOTORSPORTS LLC, DBA: HIGH PERFORMANCE MOTORSPORTS; NOT INVESTMENT-RELATED; SAN DIEGO CA; USED CAR DEALERSHIP/RACING CO.; MANAGING MEMBER; MANAGING MEMBER; 7/2007; 5 HOURS/MONTH; 0 HOURS/TRADING; SELL CARS, MOTORSPORTS RACING. (7) HOA PRESIDENT / NOT INVESTMENT RELATED / LA JOLLA, CA / BILL'S OWN PROPERTY HOA
CRS (Client Relationship Summary) - RIA
Click below to view William Dan Gotses's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Dan Gotses'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®
NoneExperience
Current
May 18, 2017 - Present
COLORADO FINANCIAL SERVICE CORPORATION
RIA
BD
CRD#: 104343
LA JOLLA, CA
Current
May 17, 2017 - Present
COLORADO FINANCIAL SERVICE CORPORATION
RIA
BD
CRD#: 104343
LA JOLLA, CA
Past
February 24, 2017 - May 24, 2017
SILBER BENNETT FINANCIAL, INC.
RIA
CRD#: 156435
La Jolla, CA
Past
February 23, 2017 - May 24, 2017
SILBER BENNETT FINANCIAL, INC.
BD
CRD#: 156435
ENCINO, CA
Past
November 22, 2011 - December 15, 2016
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SAN DIEGO, CA
Past
November 22, 2011 - December 15, 2016
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAN DIEGO, CA
Past
October 23, 2009 - November 28, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN DIEGO, CA
Past
October 23, 2009 - November 28, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN DIEGO, CA
Past
July 12, 1999 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
ENCINITAS, CA
Past
May 12, 1998 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ENCINITAS, CA
Past
April 3, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
OAKLAND, CA
Past
November 19, 1993 - February 21, 1997
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
December 3, 1990 - November 19, 1993
MARKETING ONE SECURITIES, INC.
BD
CRD#: 16611
PORTLAND, OR
Past
April 17, 1990 - December 6, 1990
GAF FINANCIAL AND INSURANCE SERVICES
BD
CRD#: 14123
Past
April 16, 1990 - December 14, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
BD
CRD#: 11028
Past
August 10, 1989 - December 13, 1989
J. W. GANT & ASSOCIATES, INC.
BD
CRD#: 7963
Past
January 5, 1989 - August 8, 1989
L.F. THOMPSON & COMPANY
BD
CRD#: 21820
Past
December 20, 1988 - January 18, 1989
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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
IAR
Arizona(9/25/2017)
RR
Arizona(2/15/2019)
RR
California(5/17/2017)
IAR
California(5/18/2017)
RR
Colorado(9/25/2017)
IAR
Colorado(9/25/2017)
IAR
Florida(5/18/2017)
RR
Florida(8/14/2017)
RR
Idaho(8/11/2017)
RR
Nevada(1/19/2021)
RR
New York(5/8/2021)
IAR
North Carolina(9/11/2023)
RR
North Carolina(9/13/2023)
RR
Oregon(6/4/2021)
IAR
Oregon(6/4/2021)
RR
Texas(1/4/2021)
IAR
Texas(7/14/2023)
RR
Utah(9/8/2017)
IAR
Washington(10/12/2017)
RR
Washington(1/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COLORADO FINANCIAL SERVICE CORPORATION
COLORADO FINANCIAL SERVICE CORPORATION | TURNING POINT RETIREMENT ASSOCIATES | GIA FINANCIAL GROUP, L.L.C.
CRD#: 104343 / SEC#: 801-76716, 8-52817
RIA
Registered Investment Advisory firm - SEC (8/8/2013 Terminated)Alaska
Registered Investment Advisory firm - SEC (5/7/2024 Approved)Arizona
Registered Investment Advisory firm - SEC (9/25/2017 Approved)California
Registered Investment Advisory firm - SEC (7/30/2013 Approved)Colorado
Registered Investment Advisory firm - SEC (7/24/2013 Approved)Florida
Registered Investment Advisory firm - SEC (4/23/2013 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/14/2023 Approved)Maryland
Registered Investment Advisory firm - SEC (3/24/2022 Terminated)Montana
Registered Investment Advisory firm - SEC (2/3/2017 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/29/2013 Approved)North Carolina
Registered Investment Advisory firm - SEC (8/4/2023 Approved)Ohio
Registered Investment Advisory firm - SEC (5/19/2017 Approved)Oregon
Registered Investment Advisory firm - SEC (6/4/2021 Approved)South Carolina
Registered Investment Advisory firm - SEC (1/3/2018 Approved)Texas
Registered Investment Advisory firm - SEC (7/14/2023 Approved)Washington
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Wyoming
Registered Investment Advisory firm - SEC (1/31/2025 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
188 Inverness Drive West Ste 100, Centennial, CO 80112
Mailing Address
188 Inverness Drive West Suite 100, Centennial, CO 80112
Phone number
(303) 962-7267
Established
Colorado since 06/13/2000
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
38
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
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.
