David J. Goguen
Professional summary
David Jacques Goguen is a registered financial professional currently at VENTUM FINANCIAL (US) CORP. .
David is registered as a RR (Registered Representative) and started their career in finance in 2003. David has worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Jacques Goguen's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2017 - Present
VENTUM FINANCIAL (US) CORP.
Office #1: 1900 - 666 Burrard Street, Vancouver, V6C 3N1February 2, 2015 - January 17, 2017
NATIONAL BANK OF CANADA FINANCIAL INC.
April 8, 2014 - February 2, 2015
NBF SECURITIES (USA) CORP.
December 2, 2003 - March 13, 2014
VENTUM FINANCIAL (US) CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/23/2017)
(5/6/2019)
(10/23/2017)
(10/23/2017)
(1/20/2023)
(10/23/2017)
(10/23/2017)
Exams
Series 37
Date: 11/20/2003
Canada Module of the General Securities Registered Representative (With Options Questions)FINRA
Current Firm
VENTUM FINANCIAL (US) CORP.
CRD#: 127404 / SEC#: , 8-65995
Contact information
FINRA licenses (21 States and Territories)
Documents
Red Flags
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Company Information
VENTUM FINANCIAL (US) CORP.
CRD#: 127404Vancouver, V6C 3N1TRUST BUT VERIFY
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