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DG

David Gregory Godinez

OAK TREE SECURITIES

LIVERMORE, CA

·CRD# 2086793·36 years experience

Professional Summary

David Gregory Godinez is a registered financial advisor currently at OAK TREE SECURITIES, INC. located in Livermore, California. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. David has worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 62, Series 14 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

36 years in the financial services industry

Current & Past Employments

OAK TREE SECURITIES, INC.·CRD# 18126

RIA

BD

1. 4049 1st Street Suite 129, Livermore, CA 94551-49492. 4049 First Street Suite 129, Livermore, CA 94551-4949

January 30, 2009 - Present

OAK TREE SECURITIES, INC.·CRD# 18126

RIA

BD

1. 4049 1st Street Suite 129, Livermore, CA 94551-49492. 4049 First Street Suite 129, Livermore, CA 94551-4949

October 11, 2007 - Present

STUDENT OPTIONS, LLC·CRD# 31626

BD

San Francisco, CA

December 2, 2021 - January 31, 2025

BERKELEY CAPITAL SECURITIES, L.L.C.·CRD# 136982

BD

San Francisco, CA

September 9, 2011 - November 21, 2011

SAYBROOK CAPITAL CORPORATION·CRD# 26398

BD

Los Angeles, CA

November 26, 2008 - May 1, 2009

PYRAMID FINANCIAL CORP.·CRD# 23181

BD

Cupertino, CA

December 3, 1990 - August 1, 2006

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Current Firm

OT

OAK TREE SECURITIES, INC.

OAK TREE SECURITIES, INC.

CRD#: 18126 / SEC#: 801-39201, 8-36138

RIA

Registered Investment Advisory firm - SEC (5/25/2004 Terminated)

California

Registered Investment Advisory firm - SEC (3/30/2004 Approved)

Hawaii

Registered Investment Advisory firm - SEC (1/21/2009 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Mailing Address

4049 First Street Suite 129, Livermore, CA 94551-4949

Phone Number

(925) 245-0570

Established

California since 04/30/1986

Firm Type

Corporation

Fiscal Year End

April

Firm Size

Small

# of Employees

4

FINRA licenses (19 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUESADA, DANIEL MARTINEZ	PRESIDENT, CFO,	817404
DAHL, ERIC DREW	PRINCIPAL	735877
LARSON, DENNIS ARTHUR	REGISTERED REP	302868
WILLIAMS, PATRICIA JEAN	PRINCIPAL	1006661
DURDEN, JOHN KENNETH JR	FINANCIAL PRINCIPAL	860423
GODINEZ, DAVID GREGORY	PRINCIPAL, CHIEF COMPLIANCE OFFICER	2086793

Regulatory Assets Under Management

Total Number of Accounts

5

AUM (Assets Under Management)

$3,689,200

Disclosures

Regulatory Event

2

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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.

VICE PRESIDENT, QCS FINANCIAL SERVICES, A COMPANY THAT CONDUCTS OUTSOURCING BROKERAGE COMPLIANCE.(ALREADY LISTED IN CURRENT EMPLOYMENT) Non investment related, compliance only. Start date August 2006. 35 hours per week. Life Insurance sales. Start date February 2021. 8 hours per week. Paid on a commission basis. Ominous Burgers. Non investment related. Food sales, owner operator. No relationship with Oak Tree. Start date June 15th, 2021. 15 hours per week. Student Options LLC. Investment related. San Francisco, CA. Floor option trading. None with the firm. Relation is email compliance consultant paid through QCS Financial Services. December 16, 2021. 2 hours per week done after trading hours. Reviewing of email and instant messaging for the Firm,

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

IAR

California
(1/30/2009)

RR

California
(11/14/2011)

RR

Iowa
(1/8/2024)

RR

Wisconsin
(11/20/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2011About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2000

Series 7 — General Securities Representative Examination

Passed Feb 1995About the Series 7 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Nov 1990

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Jun 2006About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view David Gregory Godinez's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view David Gregory Godinez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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DG

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