David Jacques Goguen
Professional Summary
David Jacques Goguen is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
23 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
PACIFIC INTERNATIONAL SECURITIES (U.S.) INC. | VENTUM FINANCIAL (US) CORP. | PI FINANCIAL (US) CORP.
Contact Information
Main Address
Vancouver Centre Ii 2500 - 733 Seymour Street, Vancouver, V6B 0S6Mailing Address
Vancouver Centre Ii 2500 - 733 Seymour Street, Vancouver, V6B 0S6Phone Number
(604) 664-2900Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (21 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/23/2017)
(5/6/2019)
(10/23/2017)
(10/23/2017)
(1/20/2023)
(10/23/2017)
(10/23/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed Nov 2003SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Jacques Goguen's CRS (Customer Relationship Summary).
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