David R. Browning
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 Richard Browning was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1966. David had worked at 7 firms and has passed the Series 65, Series 63, PC, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2003 - February 4, 2013
GOODWIN SECURITIES, INC
April 9, 2003 - June 23, 2003
GOODWIN, BROWNING & LUNA SECURITIES, INC.
August 26, 1993 - February 4, 2013
GOODWIN SECURITIES, INC
September 4, 1990 - September 7, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 18, 1988 - September 4, 1990
BOETTCHER & COMPANY, INC.
August 17, 1988 - October 19, 1988
YOUNG, SMITH & PEACOCK, INC.
May 14, 1988 - May 28, 1988
LEHMAN BROTHERS INC.
April 18, 1966 - May 14, 1988
E. F. HUTTON & COMPANY INC
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/15/1966
Registered Representative ExaminationSeries 12
Date: 6/3/1975
NYSE Branch Manager ExaminationCurrent Firm
GOODWIN SECURITIES, INC
CRD#: 27523 / SEC#: , 8-43158
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOODWIN, JOHN WILLIS | PRESIDENT/CHIEF COMPLIANCE OFFICER | 871469 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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