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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 20 years and is subject to SEC and FINRA oversight.

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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

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*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.

Experience and Employment History

Employer Years Dates
UBS Financial Services Inc. 5 years, 7 months Sep 2008 - Present
Lehman Brothers 6 years, 1 month Aug 2002 - Sep 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/14/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Customer Disputes

3 Customer Disputes

As of Date
12/14/2012
08/24/2011
*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.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 09/27/1993
Uniform Securities Agent State Law Examination Series 63 11/02/1992
National Commodity Futures Examination Series 3 10/26/1992
General Securities Representative Examination Series 7 10/19/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

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