Edward A. Goldman
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.
Edward Alan Goldman, who also goes by Ed Goldman, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1982. Edward had worked at 14 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2019 - December 5, 2022
MCNALLY FINANCIAL SERVICES CORPORATION
April 19, 2018 - May 1, 2019
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
November 20, 2008 - April 20, 2018
CAPITOL SECURITIES MANAGEMENT, INC.
September 1, 2005 - December 31, 2006
FINACORP SECURITIES
June 22, 2004 - December 31, 2004
COMMONWEALTH FINANCIAL NETWORK
March 17, 2004 - August 31, 2005
COMMONWEALTH FINANCIAL NETWORK
September 9, 2002 - December 31, 2003
CREDIT UNION BROKERAGE SERVICES, INC.
April 29, 2002 - March 17, 2004
CREDIT UNION BROKERAGE SERVICES, INC.
August 20, 1999 - November 28, 2001
NAVILLUS SECURITIES, INC.
February 11, 1999 - September 17, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 19, 1999 - February 17, 1999
MORGAN STANLEY DW INC.
February 17, 1995 - February 4, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 21, 1993 - March 14, 1995
UBS FINANCIAL SERVICES INC.
August 31, 1990 - February 10, 1994
LEHMAN BROTHERS INC.
March 7, 1989 - September 14, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 13, 1989 - September 14, 1990
PRUDENTIAL EQUITY GROUP, LLC
July 25, 1988 - March 6, 1989
FIRST UNION CAPITAL MARKETS CORP.
November 2, 1985 - March 18, 1986
PRUDENTIAL-BACHE SECURITIES (PAN AMERICA) INC.
November 24, 1982 - August 2, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/27/1999
Limited Representative-Equity Trader ExamCurrent Firm
MCNALLY FINANCIAL SERVICES CORPORATION
CRD#: 121196 / SEC#: , 8-65388
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCNALLY, DAVID DORN | CHIEF EXECUTIVE OFFICER; CHIEF COMPLIANCE OFFICER | 839798 |
Regulatory assets under management
| Total Number of Accounts | 142 |
| AUM (Assets Under Management) | $ 25,149,615 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
