David P. Goaley
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 Patrick Goaley, who also goes by Dave Goaley, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2012 - February 19, 2013
MARKEL NEWTON
January 8, 2004 - March 20, 2012
AMERITAS INVESTMENT COMPANY, LLC
November 29, 2001 - December 31, 2003
THE CONCORD EQUITY GROUP, LLC
December 3, 1999 - November 5, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 13, 1994 - December 17, 1999
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 10, 1992 - September 7, 1994
NORTH AMERICAN MANAGEMENT, INC.
October 3, 1991 - July 9, 1992
AMERITAS INVESTMENT COMPANY, LLC
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
MARKEL NEWTON
CRD#: 131662 / SEC#: , 8-66490
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
