Erik D. Gosule

FEDERATED SECURITIES

Pittsburgh, PA 15222-3779

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CRD#: 2098378

Professional summary

Erik Dana Gosule, who also goes by Erik Dana Gosula, is a registered financial professional currently at FEDERATED SECURITIES CORP. located in Pittsburgh, Pennsylvania.

Erik is registered as a RR (Registered Representative) and started their career in finance in 1991. Erik has worked at 5 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Erik Dana Gosula

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Dana Gosule'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®

None

Experience

Current

August 20, 2020 - Present

FEDERATED SECURITIES CORP.

Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779

RIA

CRD#: 5009

Pittsburgh, PA

Past

January 5, 2015 - August 12, 2020

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

November 8, 2011 - February 18, 2014

FORESIDE FUND SERVICES, LLC

CRD#: 46106

BOSTON, MA

Past

May 9, 2007 - May 9, 2011

D.E. SHAW SECURITIES, L.L.C.

CRD#: 24332

NEW YORK, NY

Past

April 19, 2005 - September 28, 2006

D.E. SHAW SECURITIES, L.L.C.

CRD#: 24332

NEW YORK, NY

Past

December 18, 1991 - March 8, 1995

KRUPP SECURITIES CORPORATION

CRD#: 10908

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Pennsylvania
(8/20/2020)

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.

Exams

State Security Law Exam

Series 63

Date: 4/25/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/3/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/18/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FEDERATED SECURITIES CORP.

CRD#: 5009 / SEC#: 801-70438, 8-15561

RIA

Registered Investment Advisory firm - SEC (8/17/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Phone number

(412) 288-1900

Established

Pennsylvania since 11/14/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

300

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
FII HOLDINGS, INC.	OWNER
ARONSOHN, JEFF DAVIS JR	COMPLIANCE OFFICER	5414359
BURKE, BRYAN MARKHAM	EXECUTIVE VICE PRESIDENT	2659959
DONAHUE, THOMAS ROBERT	EXECUTIVE VICE PRESIDENT AND DIRECTOR	2766434
EISENBRANDT, PETER WILLIAM	EXECUTIVE VICE PRESIDENT	1676319
FAVERO, AUTUMN LYNN	ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	7844158
GERMAIN, PETER JOSEPH	DIRECTOR/VICE PRESIDENT	4152014
MOORE, KARY ANNE	SECRETARY	5989808
NOVAK, RICHARD ANTHONY	TREASURER	2901271
RONAYNE, BRIAN SEAN	EXECUTIVE VICE PRESIDENT	2158279
SENCHAK, FRANK CARL	DIRECTOR	6683477
UHLMAN, PAUL ADAM	DIRECTOR AND PRESIDENT	2043674
VAN METER, STEPHEN PAUL	CHIEF COMPLIANCE OFFICER	6020413

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Erik D. Gosule

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Dana Gosule's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMUNDI DISTRIBUTOR US, INC.

FORESIDE FUND SERVICES, LLC

D.E. SHAW SECURITIES, L.L.C.

D.E. SHAW SECURITIES, L.L.C.

KRUPP SECURITIES CORPORATION

Primary Firm SEC Registration

FEDERATED SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/25/2005

SIE

Date: 10/1/2018

Series 3

Date: 12/3/2013

Series 7

Date: 4/18/2005

Series 24

Date: 10/11/2016

FINRA

Current Firm

FEDERATED SECURITIES CORP.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FEDERATED SECURITIES CORP.

TRUST BUT VERIFY

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