Tony R. Golden
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.
Tony Rae Golden was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1983. Tony had worked at 7 firms and has passed the Series 65, Series 63, Series 7 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
April 18, 1996 - December 23, 1996
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
February 20, 1995 - April 1, 1996
PRUDENTIAL EQUITY GROUP, LLC
December 13, 1991 - January 26, 1995
J.P. MORGAN SECURITIES LLC
October 3, 1990 - January 3, 1992
LEHMAN BROTHERS INC.
September 29, 1989 - December 8, 1990
KIDDER, PEABODY & CO. INCORPORATED
July 21, 1986 - October 9, 1989
CITIGROUP GLOBAL MARKETS INC.
November 11, 1985 - July 23, 1986
CIBC WORLD MARKETS CORP.
December 21, 1983 - November 18, 1985
LEHMAN BROTHERS 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
Series 8
Date: 8/30/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
CRD#: 30626 / SEC#: , 8-45065
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY NATIONAL CORP. | PARENT COMPANY | |
| BOAL, CHETAN | PRESIDENT, DIRECTOR, MUNICIPAL SECURITIES PRINCIPAL,, SROP, CROP | 2264605 |
| DENNEY, SHARON R | DIRECTOR | 2865840 |
| FRANCIS, NOEL A | FINANCIAL OPERATIONS PRINCIPAL, SECRETARY-TREASURER | 4412530 |
| HERMAN, CONRAD LOUIS | VP, COMPLIANCE OFFICER | 2255431 |
| JAMES, AMELIA ANN | DIRECTOR | 2267509 |
| MILLER, JAMES BENNETT JR | CHAIRMAN | 2267505 |
| RUSSELL, JEFFERSON BARRON | DIRECTOR | |
| SHEPHERD, W CLYDE III | DIRECTOR | 2294290 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
