DG
David G. Godinez
OAK TREE SECURITIES
Livermore, CA 94551-4949
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CRD#: 2086793
DG
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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,
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).
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
January 30, 2009 - Present
OAK TREE SECURITIES, INC.
Office #1: 4049 1st Street Suite 129, Livermore, CA 94551-4949Office #2: 4049 First Street Suite 129, Livermore, CA 94551-4949RIA
BD
CRD#: 18126
Livermore, CA
Current
October 11, 2007 - Present
OAK TREE SECURITIES, INC.
Office #1: 4049 1st Street Suite 129, Livermore, CA 94551-4949Office #2: 4049 First Street Suite 129, Livermore, CA 94551-4949RIA
BD
CRD#: 18126
Livermore, CA
Past
December 2, 2021 - January 31, 2025
STUDENT OPTIONS, LLC
BD
CRD#: 31626
SAN FRANCISCO, CA
Past
September 9, 2011 - November 21, 2011
BERKELEY CAPITAL SECURITIES, L.L.C.
BD
CRD#: 136982
SAN FRANCISCO, CA
Past
November 26, 2008 - May 1, 2009
SAYBROOK CAPITAL CORPORATION
BD
CRD#: 26398
LOS ANGELES, CA
Past
December 3, 1990 - August 1, 2006
PYRAMID FINANCIAL CORP.
BD
CRD#: 23181
CUPERTINO, CA
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
California(1/30/2009)
RR
California(11/14/2011)
RR
Iowa(1/8/2024)
RR
Wisconsin(11/20/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/29/1990
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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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)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Company Information
OAK TREE SECURITIES, INC.
CRD#: 18126Livermore, CA 94551-4949TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
