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AG

Alan F. Goldman

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CRD#: 1148720
AG

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.

Alan Franklin Goldman, who also goes by Alan F. Goldman, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1983. Alan had worked at 10 firms and has passed the SIE, Series 7, Series 24, Series 53 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alan F. Goldman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 17, 2008 - March 2, 2016

ACER INVESTMENT GROUP, LLC

BD
CRD#: 107062
STAMFORD, CT
Past

February 6, 2006 - May 15, 2006

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

April 15, 2005 - January 6, 2006

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

April 6, 2001 - April 1, 2005

FULCRUM GLOBAL PARTNERS LLC

BD
CRD#: 104455
NEW YORK, NY
Past

December 18, 1997 - March 9, 2001

KAMCO SECURITIES, INC.

BD
CRD#: 22410
BERNARDSVILLE, NJ
Past

March 5, 1991 - December 21, 1995

CANTOR FITZGERALD, G.P.

BD
CRD#: 27368
Past

May 12, 1989 - December 7, 1993

CANTOR FITZGERALD SHOKEN KAISHA LIMITED

BD
CRD#: 22314
Past

October 22, 1987 - December 21, 1995

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

July 27, 1987 - September 23, 1988

CANTOR FITZGERALD MBS BROKERS, INC.

BD
CRD#: 19661
Past

December 10, 1984 - December 21, 1995

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

October 19, 1983 - January 25, 1991

CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.

BD
CRD#: 10780

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 3/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/1998
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/19/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/18/1984
Financial and Operations Principal Examination

Current Firm

AI
ACER INVESTMENT GROUP, LLC
ACER INVESTMENT GROUP, LLC

CRD#: 107062 / SEC#: , 8-53024

BD
Terminated by SEC on 05/12/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KAMINER, STACEY ROBIN-ANMEMBER/CHIEF COMPLIANCE OFFICER2168187
CREMA, ROBERT VICTORMEMBER1208895
PACT INVESTORS, INC.CLASS B MEMBER
ROTHENBERG, SHARI PCFO/FINOP6590875

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.

Company Information

ACER INVESTMENT GROUP, LLC

CRD#: 107062

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