David W. Goldberg
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 William Goldberg, who also goes by Dave Goldberg, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1969. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2015 - December 6, 2016
HORNOR, TOWNSEND & KENT, LLC
May 16, 2011 - October 31, 2013
M HOLDINGS SECURITIES, INC.
November 22, 2000 - October 31, 2013
M HOLDINGS SECURITIES, INC.
February 10, 1999 - December 31, 2002
PRINCIPAL SECURITIES, INC.
May 13, 1994 - February 9, 1999
MML INVESTORS SERVICES, LLC
September 28, 1989 - December 9, 1992
GUARDIAN INVESTOR SERVICES LLC
August 21, 1985 - October 3, 1989
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 10, 1983 - April 15, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
February 23, 1981 - February 8, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 3, 1969 - July 1, 1971
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
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
Series 1
Date: 8/1/1969
Registered Representative ExaminationCurrent Firm
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
