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Garrett S Goggin

Nomura Investment Management Business Trust

Pleasanton, CA

Philadelphia, PA

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Current Employers
Nomura Investment Management Business Trust

610 Market Street, Philadelphia, PA 19106 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2024-11-08
CA RA APPROVED 2020-04-20
HI RA APPROVED 2020-04-20
NV RA APPROVED 2020-04-20
PA RA APPROVED 2020-04-20
  • OR RA
    APPROVED
    Since 2024-11-08
  • CA RA
    APPROVED
    Since 2020-04-20
  • HI RA
    APPROVED
    Since 2020-04-20
  • NV RA
    APPROVED
    Since 2020-04-20
  • PA RA
    APPROVED
    Since 2020-04-20

Branch Locations

Pleasanton, CA • United States

610 Market Street, Philadelphia, PA 19106 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Delaware Investments Philadelphia PA 10/2011 Present
Goggin Moving Havertown PA 09/1993 Present
El Fuego Philadelphia PA 09/2003 Present
Oakmont Pub Havertown PA 09/2000 Present
Macquarie Investment Management Business Trust Philadelphia PA 04/2020 Present
Nomura Capital Management Llc San Francisco CA 06/2026 Present
  • 10/2011 → Present
    Delaware Investments
    Philadelphia, PA
  • 09/1993 → Present
    Goggin Moving
    Havertown, PA
  • 09/2003 → Present
    El Fuego
    Philadelphia, PA
  • 09/2000 → Present
    Oakmont Pub
    Havertown, PA
  • 04/2020 → Present
    Macquarie Investment Management Business Trust
    Philadelphia, PA
  • 06/2026 → Present
    Nomura Capital Management Llc
    San Francisco, CA
Previous Registrations
  • 2012-01-02 → 2020-04-20
    Delaware Capital Management Advisers, Inc
    Philadelphia, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-12-31
  • S66 Uniform Combined State Law Examination
    2011-12-31

View on SEC IAPD

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Other Offices

PRUDENT PROSPERA PLANNING, INC. · PLEASANTON, CA
CETERA INVESTMENT ADVISERS LLC · PLEASANTON, CA
PANDECT CATALYST FUND MANAGEMENT LLC · PLEASANTON, CA
ADAP TAX FINANCIAL, INC. · PLEASANTON, CA
BUCK WEALTH STRATEGIES, LLC · PLEASANTAN, CA
DEJARNATT, PAUL E · PLEASANTON, CA
LPL FINANCIAL LLC · PLEASANTON, CA
LEGACY WEALTH MANAGEMENT, LLC · Pleasanton, CA

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