DG
David J. Goodridge
RAYMOND JAMES (USA) LTD.
Montreal, H3B 4W5
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CRD#: 6743367
DG
Professional summary
David Justin Goodridge, who also goes by Tosh Goodridge, is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. David has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tosh Goodridge
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.
1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH CIRO, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. DAVID GOODRIDGE IS LOCATED AT 2600 - 1000 DE LA GAUCHETIERE, MONTREAL QC Canada H3B4W5 AND HAS BEEN EMPLOYED SINCE October 1, 2016. HE IS A FULL TIME EMPLOYEE AND HIS TITLE WITH RJL IS "FINANCIAL ADVISOR". HE DEVOTES 160 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES INCLUDE SALES and PORTFOLIO MANAGEMENT SERVICES. 2) PANACEA 1113 DE MUSCARIS, ST. HUBERT QUEBEC -NON PROFIT ORGANIZATION THAT WAS STARTED BY DAVID GOODRIDGE AND HIS WIFE. ORGANIZATION AIMS TO RELIEVE SOME OF THE CONSEQUENCES OF POVERTY FOR KIDS IN LOW INCOME FAMILIES IN THE COMMUNITY. PROVIDES FOOD, SPORTS EQUIPMENT, ETC FOR KIDS. MAINLY SOURCE FAMILIES THROUGH CONNECTIONS WITH ADMINISTRATORS IN LOCAL SCHOOLS. TITLE HELD IS DIRECTOR. DUTIES ARE TO PROVIDE SUPPORT WITH DECISION MAKING AS TO RELIEF BEING PROVIDED TO WHOM AND HOW.NO POTENTIAL CONFLICTS 3) PERFECT SERVE is not investment-related and is located at 200-1312 Blanchard St, Victoria, BC, Canada. Hospital Technology Communications and my position is owner. The start date of the business was 2014/12/18. I devote zero hours to this other business during business and trading hours. My duties are owner (<1%). 4) Mile-End Mission is not investment-related and is located at 99 Bernard Ouest, Montreal, Quebec, Canada. It is a registered charity and their position/title is Board Member. The start date of this activity was February 27, 2020. They devote 2 hours per month to this other business outside of business and trading hours. Their duties are to provide help in fundraising and planning events.
CRS (Client Relationship Summary) - RIA
Click below to view David Justin Goodridge's 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®
NoneExperience
Current
February 23, 2017 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 1000 De La Gauchetiere West Suite 2600, Montreal, H3B 4W5RIA
BD
CRD#: 25853
Montreal,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(2/23/2017)
Exams
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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
RAYMOND JAMES (USA) LTD.
CRD#: 25853Montreal, H3B 4W5TRUST BUT VERIFY
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