David S. Goldman
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 Scott Goldman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
January 18, 2024 - October 22, 2025
W&S BROKERAGE SERVICES, INC.
January 18, 2024 - October 22, 2025
W&S BROKERAGE SERVICES, INC.
October 6, 2020 - November 13, 2023
CETERA INVESTMENT SERVICES LLC
October 5, 2020 - November 13, 2023
CETERA INVESTMENT ADVISERS LLC
June 22, 2015 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
June 22, 2015 - November 1, 2018
PNC WEALTH MANAGEMENT LLC
May 21, 2014 - May 27, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
May 21, 2014 - May 27, 2015
ALLSTATE FINANCIAL SERVICES, LLC
April 20, 2009 - May 15, 2014
CHAPIN, DAVIS
April 20, 2009 - May 15, 2014
CHAPIN, DAVIS
January 1, 2000 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
September 8, 1998 - May 5, 2009
CITIGROUP GLOBAL MARKETS INC.
February 19, 1993 - September 8, 1998
FERRIS, BAKER WATTS, LLC
January 23, 1990 - February 26, 1993
TZ CLEAR LLC
Primary Firm SEC Registration
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
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
Current Firm
W&S BROKERAGE SERVICES, INC.
CRD#: 8099 / SEC#: 801-113946, 8-24674
Contact information
SEC notice filing (33 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTERN AND SOUTHERN LIFE ASSURANCE COMPANY | OWNER | |
| BRODIE, TROY DALE | PRESIDENT | 1924559 |
| DELUCA, JAMES JOSEPH | VP, MARKETING | 5420948 |
| HERRON, SARAH SPARKS | CORPORATE SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | TREASURER | 6607547 |
| LOVELESS, MATTHEW WILLIAM | VP, AGENCY STRATEGY, TRAINING & TALENT ACQUISITION | 5657647 |
| LUEBBE, GREGORY MICHAEL | ASSISTANT VICE PRESIDENT | 2924719 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOURNE, DOUGLAS EDWARD | AVP, BROKERAGE OPERATIONS | 2999021 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE OFFICER | 1327230 |
| WIEDENHEFT, TERRIE ANN | SENIOR VICE PRESIDENT AND CFO | 2619213 |
| WITTMAN, SCOTT JOSEPH | VP TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 175,814,665 |
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.
