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DG

David L. Goddard

Some features on this profile are disabled
CRD#: 4518082
DG

Professional summary

David L. Goddard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, David had worked at 1 firm, which includes QUANTLAB SECURITIES LP.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 27, 2002 - July 25, 2012

QUANTLAB SECURITIES LP

BD
CRD#: 119955
HOUSTON, TX

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

State Security Law Exam
RR
Series 63
Date: 5/22/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2002
General Securities Representative Examination

Current Firm

QS
QUANTLAB SECURITIES LP
QUANTLAB SECURITIES LP

CRD#: 119955 / SEC#: , 8-65239

BD
Terminated by SEC on 03/02/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/07/2001
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
EAMES, BRUCELIMITED PARTNER4396248
ARAGORN MANAGEMENT LLCGENERAL PARTNER
BUNIVA, SABRINA ECFO/FINOP1294502
WILLIAMS, MICHAEL BARRETTDESIGNATED PRINCIPAL,CCO2853218

Disclosures

Regulatory Event9

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

QUANTLAB SECURITIES LP

CRD#: 119955

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