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David Wilson Goodenough

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Information

Other Names: David Ray Wilson
Firm:
Type: Dual Registration
Description

David Goodenough is a financial professional at UBS Financial Services Inc., a broker-dealer with over 12,600 registered representatives nationwide. David has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
UBS Financial Services Inc. 5 years, 10 months Sep 2008 - Present
Lehman Brothers 6 years, 1 month Aug 2002 - Sep 2008
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 09/27/1993
Uniform Securities Agent State Law ExaminationSeries 63 11/02/1992
National Commodity Futures ExaminationSeries 3 10/26/1992
General Securities Representative ExaminationSeries 7 10/19/1992

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

David Wilson Goodenough has not answered any questions on Financial Q&A.

Top Guides

David Wilson Goodenough has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Customer Disputes

3 Customer Disputes

As of Date
12/14/2012
08/17/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D - MISCELLANEOUS