Mitchell L. Goldberg
Professional summary
Mitchell Louis Goldberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mitchell is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Mitchell had worked at 11 firms, which includes BROOKSTREET SECURITIES CORPORATION, NATIONAL SECURITIES CORPORATION, PROFESSIONAL CONCEPTS & PLANNING INC., SHARPE CAPITAL INC., LADENBURG CAPITAL MANAGEMENT INC., JOSEPHTHAL & CO. INC., CITIGROUP GLOBAL MARKETS INC., SCHONFELD SECURITIES LLC, J. T. MORAN & CO. INC., SHELTER ROCK SECURITIES CORP., KUREEN & COOPER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - March 24, 2004
BROOKSTREET SECURITIES CORPORATION
May 23, 2000 - January 2, 2001
NATIONAL SECURITIES CORPORATION
September 28, 1999 - May 18, 2000
PROFESSIONAL CONCEPTS & PLANNING, INC.
July 31, 1998 - April 23, 1999
SHARPE CAPITAL, INC.
May 16, 1994 - May 22, 1998
LADENBURG CAPITAL MANAGEMENT INC.
March 20, 1991 - May 20, 1994
JOSEPHTHAL & CO., INC.
July 17, 1990 - December 24, 1990
CITIGROUP GLOBAL MARKETS INC.
January 23, 1990 - June 14, 1990
SCHONFELD SECURITIES, LLC
December 17, 1986 - December 5, 1989
J. T. MORAN & CO., INC.
October 31, 1985 - November 6, 1985
SHELTER ROCK SECURITIES CORP.
October 31, 1985 - February 23, 1987
KUREEN & COOPER, 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
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
