Wayne K. Goldstein
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.
Wayne Kenneth Goldstein was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1985. Wayne had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2019 - February 26, 2019
FIRST CAPITAL EQUITIES,LTD.
November 28, 1988 - February 1, 1996
SANDLER, O'NEILL & PARTNERS, L.P.
July 21, 1987 - July 15, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
January 14, 1985 - December 31, 1991
CONTINENTAL BROKER-DEALER 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
Series 7TO
Date: 2/14/2019
General Securities Representative ExaminationCurrent Firm
FIRST CAPITAL EQUITIES,LTD.
CRD#: 14428 / SEC#: , 8-30682
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SLOAN, FRED P. | VICE PRESIDENT | 4355498 |
| SCHWARTZ, DAVID HOWARD | PRESIDENT/CCO/POO/PFO |
Disclosures
| Regulatory Event | 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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