David H. Goganian
Professional summary
David Hugh Goganian, who also goes by Dave Goganian, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.
David is registered as a RR (Registered Representative) and started their career in finance in 1991. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Hugh Goganian's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2023 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 Salem Street, Smithfield, RI 02917October 30, 2017 - April 7, 2021
JOHN HANCOCK DISTRIBUTORS LLC
April 14, 2015 - June 17, 2016
SIGNATOR INVESTORS, INC.
April 20, 2005 - April 15, 2015
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
June 15, 2004 - April 15, 2015
NYLIFE DISTRIBUTORS LLC
March 16, 2004 - June 15, 2004
NYLIFE SECURITIES LLC
October 19, 2001 - June 17, 2002
DWS DISTRIBUTORS, INC.
December 12, 2000 - October 19, 2001
DEAM INVESTOR SERVICES, INC.
January 11, 2000 - January 10, 2001
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
December 11, 1995 - June 4, 1999
DEAM INVESTOR SERVICES, INC.
March 26, 1992 - June 4, 1999
DEAM INVESTOR SERVICES, INC.
December 17, 1991 - March 2, 1992
IDS LIFE INSURANCE COMPANY
December 17, 1991 - March 2, 1992
AMERIPRISE FINANCIAL SERVICES, 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
(3/14/2023)
(3/14/2023)
(3/23/2023)
(3/23/2023)
Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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Company Information
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784Smithfield, RI 02917TRUST BUT VERIFY
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