David Gotz, financial advisor San Diego CA
83 score

David Gotz

CRD Number: 1052137
Current Firm: Hilltop Securities Inc.

David Gotz (CRD# 1052137) is an Investment Advisor Representative working at Hilltop Securities Inc. in San Diego, CA and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
M.l. Stern & Company Inc. San Diego, CA Jun 1982 - Current 34
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1984
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David A. Gotz
Phone Number: 214-859-1800
Firm Website: http://genepdickey.com
Registered State(s):
  • CA
  • TX
  • OR
By the Numbers
  • Total Assets Under Management
    927
    MILLIONS
  • Total Number of Accounts
    3,659
    ACCOUNTS
  • Average Account Value
    $253,402
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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