David R. Gouzie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Richard Gouzie was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1975. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2009 - December 31, 2018
REGISTER FINANCIAL ADVISORS, LLC
December 17, 2008 - January 3, 2019
REGISTER FINANCIAL ASSOCIATES, INC.
August 15, 1996 - December 20, 2008
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 20, 2008
CITIGROUP GLOBAL MARKETS INC.
July 8, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
September 26, 1978 - August 5, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 31, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 24, 1976 - June 11, 1977
REYNOLDS SECURITIES, INC.
January 24, 1975 - September 10, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
REGISTER FINANCIAL ADVISORS, LLC
CRD#: 143884 / SEC#: 801-81190
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 8
Date: 7/29/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
REGISTER FINANCIAL ADVISORS, LLC
CRD#: 143884 / SEC#: 801-81190
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 488,454,320 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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