David M. Gold
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 Mark Gold was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 4 firms and has passed the Series 63 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
April 11, 1994 - August 2, 1994
GAINEY FINANCIAL SERVICES, INC.
January 22, 1993 - March 2, 1994
CAMELOT INVESTMENT CORP.
July 23, 1992 - February 11, 1993
FIRST ASSET MANAGEMENT, INC.
March 20, 1990 - July 24, 1992
ROBERT TODD FINANCIAL CORP.
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
GAINEY FINANCIAL SERVICES, INC.
CRD#: 27968 / SEC#: , 8-43337
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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.
