Marc A. Goldfarb
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.
Marc Alan Goldfarb was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1983. Marc had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2006 - May 10, 2010
SHEARSON FINANCIAL SERVICES, LLC
November 11, 2002 - January 18, 2006
NORTHEAST SECURITIES, LLC
March 24, 1998 - November 11, 2002
NORTHEAST SECURITIES, LLC
March 27, 1990 - February 19, 1998
JOSEPHTHAL & CO., INC.
January 2, 1990 - February 21, 1990
PRESCOTT, BALL & TURBEN, INC.
February 13, 1989 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
May 3, 1985 - March 7, 1989
LEHMAN BROTHERS INC.
April 20, 1983 - May 2, 1985
ROTAN MOSLE INC.
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
Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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