Kenneth H. Goldberg
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.
Kenneth Howard Goldberg, who also goes by Ken Goldberg, Kenneth Goldberg, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1985. Kenneth had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 15, Series 5 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
December 16, 2015 - January 6, 2022
AXIOM INVESTMENT MANAGEMENT LLC
May 17, 2012 - February 6, 2014
ABACI CAPITAL ADVISORS, LLC
October 21, 2009 - November 15, 2010
HEDGELAB CAPITAL MANAGEMENT LLC
February 21, 1995 - July 29, 1996
SEAFIRST INVESTMENT SERVICES, INC.
September 14, 1994 - February 13, 1995
WAMU INVESTMENTS, INC.
July 10, 1993 - August 3, 1994
ASSOCIATED SECURITIES CORP.
April 28, 1992 - June 24, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 1991 - March 19, 1992
CITICORP INVESTMENT SERVICES
June 22, 1990 - February 22, 1991
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 23, 1990 - May 30, 1990
MERRIMAN CAPITAL, INC.
October 22, 1985 - April 9, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
AXIOM INVESTMENT MANAGEMENT LLC
CRD#: 141516 / SEC#: 801-67131
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 15
Date: 8/27/1985
Foreign Currency Options ExaminationSeries 5
Date: 8/14/1985
Interest Rate Options ExaminationCurrent Firm
AXIOM INVESTMENT MANAGEMENT LLC
CRD#: 141516 / SEC#: 801-67131
Contact information
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 194 |
| AUM (Assets Under Management) | $ 233,658,031 |
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.
