Erma L. Goldberg
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.
Erma L Goldberg, who also goes by Erma L Goldberg, Erma Louise Goldberg, was a registered financial professional .
Erma is a previously registered financial professional and started their career in finance in 1983. Erma had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 24, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2011 - June 30, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 11, 2011 - June 30, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2009 - October 20, 2010
WELLS FARGO INVESTMENTS, LLC
June 30, 2009 - October 20, 2010
WELLS FARGO INVESTMENTS, LLC
September 17, 2003 - March 11, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 28, 2003 - March 11, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 2, 1988 - February 3, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 6, 1987 - April 26, 1988
YOUNG, SMITH & PEACOCK, INC.
April 16, 1984 - October 12, 1987
PRUDENTIAL EQUITY GROUP, LLC
March 23, 1984 - April 4, 1984
LEHMAN BROTHERS INC.
March 22, 1983 - December 16, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 8
Date: 8/28/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
