Mitchell G. 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.
Mitchell Geoffrey Goldman, who also goes by Mitchell G Goldman, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1985. Mitchell had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2022 - February 24, 2022
CUNA BROKERAGE SERVICES, INC.
October 5, 2009 - February 28, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 28, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
December 18, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 21, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 20, 2004 - November 24, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 24, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 9, 2002 - October 20, 2004
QUICK & REILLY, INC.
December 1, 2000 - October 20, 2004
QUICK & REILLY, INC.
June 2, 1988 - February 11, 2000
MORGAN STANLEY DW INC.
February 25, 1985 - June 9, 1988
DAVID LERNER ASSOCIATES, 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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
