Best Investors Account Sign in

David Brent Gough

LPl Financial LLC

Edgewater, MD

Claim This Profile
Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-03-08
MD RA APPROVED 2011-03-04
  • TX RA
    APPROVED_RES
    Since 2011-03-08
  • MD RA
    APPROVED
    Since 2011-03-04

Branch Locations

3168 Braverton St, 4Th Fl Compass Wealth Strategies Llc, Edgewater, MD 21037-7960 • 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
Lpl Financial, Llc Edgewater MD 03/2011 Present
Previous Registrations
  • 2009-06-01 → 2011-03-14
    Morgan Stanley
    Annapolis, MD
    Annapolis, MD
  • 2006-02-21 → 2009-06-01
    Citigroup Global Markets Inc.
    Bowie, MD
    Bowie, MD
    Bowie, MD
  • 1997-09-19 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Bowie, MD
Other Businesses

1. 2/2/2012: DBA ONLY - COMPASS WEALTH STRATEGIES, LLC - EDGEWATER, MD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-12
S63 Uniform Securities Agent State Law Examination 1983-05-12
  • S65 Uniform Investment Adviser Law Examination
    1993-04-12
  • S63 Uniform Securities Agent State Law Examination
    1983-05-12
Designations

View on SEC IAPD

Other Firms

EDWARD JONES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TRUIST ADVISORY SERVICES, INC.
J.P. MORGAN SECURITIES LLC
PNC WEALTH MANAGEMENT LLC
CETERA INVESTMENT ADVISERS LLC
HARMONY WEALTH ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

Crystal Sage Barker
Karen B. Steppler-Krieg
JOHN WILLIAM SNOWDEN
ANDREA GOUGH BEEGLE
MICHELLE ANN KRUHM
Erik Michael Thompson
Josselyn Melissa Romero Argueta
Henry Neal Chalkley

Other Offices

EDWARD JONES · EDGEWATER, MD
LPL FINANCIAL LLC · EDGEWATER, MD
EDWARD JONES · EDGEWATER, MD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · EDGEWATER, MD
EDWARD JONES · EDGEWATER, MD
TRUIST ADVISORY SERVICES, INC. · EDGEWATER, MD
J.P. MORGAN SECURITIES LLC · Edgewater, MD
PNC WEALTH MANAGEMENT LLC · EDGEWATER, MD

More in Edgewater, MD

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor