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DG

Donald J. Goy

LASALLE ST SECURITIES, L.L.C.
Mendota, IL 61342
Some features on this profile are disabled
CRD#: 2580398
DG

Professional summary

Donald James Goy, who also goes by Donald J Goy, is a registered financial professional currently at LASALLE ST SECURITIES, L.L.C. located in Mendota, Illinois.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1995. Donald has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald J Goy

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 Donald James Goy's CRS (Customer Relationship Summary).
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

May 17, 2016 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 913 Main Street, Mendota, IL 61342
BD
CRD#: 7191
Mendota, IL
Past

July 25, 2001 - September 20, 2016

CAPITAL SECURITIES INVESTMENT CORPORATION

BD
CRD#: 5606
MENDOTA, IL
Past

March 2, 1995 - July 27, 2001

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL

State Registrations and Notice Filings

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

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

RR
Illinois
(5/17/2016)
RR
Kentucky
(5/17/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 3/2/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/13/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LASALLE ST SECURITIES, L.L.C.
LA SALLE ST. SECURITIES, INC. | LASALLE ST SECURITIES, L.L.C.

CRD#: 7191 / SEC#: , 8-18860

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Mailing Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Phone number
(630) 600-0500
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LASALLE ST. HOLDINGS LLC F/K/A MCDERMOTT HOLDINGS I, L.P.100% OWNER
BEAVER, REGAN ALANCHIEF COMPLIANCE OFFICER4621953
DROZD, MICHAEL MITCHELLCHIEF INVESTMENT OFFICER6015178
SCHLESSER, DANIEL JOHNC.F.O./TRES./C.O.O1788458

Disclosures

Regulatory Event15
Arbitration4
Bond1

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.

Company Information

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191Mendota, IL 61342

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