Jeffrey P. Goldstein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Philip Goldstein was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 5 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 52TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2004 - June 6, 2022
RAINIER SECURITIES, LLC
October 8, 2002 - May 11, 2004
WELLS FARGO INVESTMENT SERVICES, LLC
October 3, 2001 - October 17, 2002
WELLS FARGO SECURITIES, LLC
September 3, 1986 - May 11, 2004
WELLS FARGO INVESTMENTS, LLC
May 24, 1982 - September 13, 1982
HAPOALIM SECURITIES USA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 2/9/2000
Limited Representative-Equity Trader ExamCurrent Firm
RAINIER SECURITIES, LLC
CRD#: 130893 / SEC#: , 8-66406
Contact information
Documents
Red Flags
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