David A. Goracy
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 Alan Goracy was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1979. David had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2020 - November 23, 2021
CASTLE HILL CAPITAL PARTNERS, INC.
February 2, 2010 - October 2, 2018
COWEN AND COMPANY
September 4, 2001 - December 31, 2009
RAMIUS SECURITIES LLC
April 13, 1994 - January 22, 1996
REPUBLIC NEW YORK SECURITIES CORPORATION
December 1, 1989 - January 30, 1992
LBI TRADING, INC.
June 20, 1988 - August 23, 1989
WR LAZARD, LAIDLAW INCORPORATED
March 11, 1987 - July 1, 1988
KUHNS BROTHERS & LAIDLAW, INC.
April 29, 1981 - March 12, 1987
LAZARD FRERES & CO. LLC
February 27, 1980 - April 13, 1981
MORGAN STANLEY & CO. LLC
January 29, 1979 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
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
Current Firm
CASTLE HILL CAPITAL PARTNERS, INC.
CRD#: 44131 / SEC#: , 8-50550
Contact information
FINRA licenses (40 States and Territories)
Red Flags
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