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DG

David T. Goss

UOB GLOBAL EQUITY SALES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 4375267
DG

Professional summary

David Tuvia Goss is a registered financial professional currently at UOB GLOBAL EQUITY SALES LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2003. David has worked at 1 firm and has passed the Series 99TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view David Tuvia Goss'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

September 26, 2003 - Present

UOB GLOBAL EQUITY SALES LLC

Office #1: 592 Fifth Avenue Suite 602, New York, NY 10036
BD
CRD#: 126500
New York, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/29/2003
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UG
UOB GLOBAL EQUITY SALES LLC
UOB GLOBAL EQUITY SALES LLC

CRD#: 126500 / SEC#: , 8-65886

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

Main Address
592 Fifth Avenue, Suite 602, New York, NY 10036
Mailing Address
592 Fifth Avenue, Suite 602, New York, NY 10036
Phone number
(212) 398-6633
Established
New York since 11/22/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 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#
UOB GLOBAL CAPITAL LLCMEMBER160659
BERKENFELD, HOWARD CRAIGCCO1932766
FORTINO, ROBERT ANTHONYFINOP1905741
GOSS, DAVID TUVIACEO4375267

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

UOB GLOBAL EQUITY SALES LLC

CRD#: 126500New York, NY 10036

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