Rosalyn C. 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.
Rosalyn Cohen Goldman was a registered financial professional .
Rosalyn is a previously registered financial professional and started their career in finance in 1983. Rosalyn had worked at 3 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
December 6, 1989 - June 26, 1990
PARAGON CAPITAL MARKETS, INC.
September 15, 1989 - December 22, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 28, 1989 - September 20, 1989
PARAGON CAPITAL MARKETS, INC.
June 6, 1983 - August 31, 1989
HUBERMAN SECURITIES CORP.
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
PARAGON CAPITAL MARKETS, INC.
CRD#: 18555 / SEC#: , 8-36765
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 10 |
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.
