David J. Goren

MISSIONSQUARE RETIREMENT

SAMMAMISH, WA

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CRD#: 3105492

Professional summary

David Joseph Goren is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Sammamish, Washington and MISSIONSQUARE WEALTH MANAGEMENT located in Washington, District Of Columbia.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view David Joseph Goren'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

April 27, 2018 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

SAMMAMISH, WA

Current

September 19, 2000 - Present

MISSIONSQUARE WEALTH MANAGEMENT

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

May 20, 1999 - November 20, 2000

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

October 14, 1998 - May 10, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 14, 1998 - May 10, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

Alaska
(11/27/2024)

IAR

Idaho
(11/26/2024)

IAR

Montana
(11/27/2024)

IAR

Oregon
(11/27/2024)

IAR

Utah
(11/27/2024)

Washington
(9/19/2000)

IAR

Washington
(4/27/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/26/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/26/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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Contact information

Main Address

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (2/6/2026)

GUIDED PATHWAYS ADVISORY SERVICES (2/6/2026)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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David J. Goren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Joseph Goren's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE WEALTH MANAGEMENT

1717 CAPITAL MANAGEMENT COMPANY

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/26/2018

Series 66

Date: 8/26/1998

SIE

Date: 10/1/2018

Series 7

Date: 10/7/1998

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

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