Bruce A. Golubock
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.
Bruce Allen Golubock was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1983. Bruce had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 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
October 12, 2004 - September 19, 2017
GOLDMAN SACHS CUSTODY SOLUTIONS
May 28, 2003 - June 9, 2004
FIDELITY BROKERAGE SERVICES LLC
February 15, 2002 - April 15, 2003
FRED ALGER & COMPANY, LLC
January 16, 2001 - November 1, 2001
HARRISDIRECT LLC
September 19, 1991 - January 22, 2001
CHARLES SCHWAB & CO., INC.
September 14, 1989 - September 10, 1991
FIDELITY BROKERAGE SERVICES LLC
June 4, 1984 - May 30, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1983 - September 15, 1983
AMERIPRISE FINANCIAL SERVICES, 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 8
Date: 8/4/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GOLDMAN SACHS CUSTODY SOLUTIONS
CRD#: 48015 / SEC#: , 8-52009
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOLIO FINANCIAL, INC. (D/B/A GOLDMAN SACHS CS HOLDINGS) | 100 % SHAREHOLDER | |
| CHOKSI, ANISH PAREN | CHIEF COMPLIANCE OFFICER | 6506840 |
| EISENSTEIN, JEREMY S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 4972748 |
| FYFFE, JAMES COMPEAU | CHIEF FINANCIAL OFFICER, FINOP & PFO | 2619159 |
| GERAGHTY, PETER RICHARD | GENERAL COUNSEL | 4930752 |
| GREEFF, BRIAN MICHAEL | COO & POO | 4273392 |
| SIEGLER, ADAM JAMES | MANAGING DIRECTOR | 5112351 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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