Lewis I. 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.
Lewis Ira Goldman, who also goes by Lewis I Goldman, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1985. Lewis had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
January 25, 2016 - August 2, 2021
FOX CHASE CAPITAL PARTNERS, LLC
May 1, 2013 - January 19, 2016
FIRST LIBERTIES FINANCIAL
May 25, 2011 - May 30, 2012
ACGM, INC.
September 16, 2010 - May 25, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
April 23, 2010 - October 1, 2010
COHEN & COMPANY SECURITIES, LLC
September 6, 2006 - May 3, 2010
PALI CAPITAL, INC.
June 28, 2004 - May 2, 2006
FINACORP SECURITIES
October 18, 2001 - January 29, 2004
NATIVE AMERICAN SECURITIES COMPANY, INC.
March 29, 2001 - December 31, 2003
AMERICAN INTERNATIONAL SECURITIES, INC.
March 20, 2000 - July 2, 2004
DUPONT SECURITIES GROUP, INC.
July 25, 1996 - April 28, 1999
NEWEDGE USA, LLC
November 30, 1993 - March 24, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
January 5, 1993 - November 29, 1993
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
February 13, 1989 - February 17, 1993
SBC WARBURG, INC.
April 27, 1988 - March 9, 1989
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
November 19, 1985 - May 4, 1988
CITICORP SECURITIES, 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 7TO
Date: 12/4/2022
General Securities Representative ExaminationCurrent Firm
FOX CHASE CAPITAL PARTNERS, LLC
CRD#: 104087 / SEC#: , 8-52624
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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