James L. 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.
James Lee Goldberg was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - April 26, 2018
J.H. DARBIE & CO., INC.
March 20, 2015 - November 12, 2015
BMA SECURITIES, LLC
April 12, 2013 - March 31, 2015
MARTINEZ-AYME SECURITIES
July 16, 2012 - April 16, 2013
WESTOR CAPITAL GROUP, INC.
March 3, 2011 - March 22, 2012
KATALYST SECURITIES LLC
August 12, 2003 - June 2, 2006
STG SECURE TRADING GROUP, INC.
August 1, 2002 - July 12, 2004
RICHMARK CAPITAL CORPORATION
August 26, 2001 - August 14, 2002
ALEXANDER, WESCOTT, & CO., INC.
April 28, 1999 - July 12, 2002
ALEXANDER, WESCOTT, & CO., INC.
August 28, 1995 - February 14, 1997
ALEXANDER, WESCOTT, & CO., INC.
August 24, 1992 - August 24, 1993
HANOVER, STERLING & COMPANY LTD.
March 4, 1991 - September 11, 1992
GKN SECURITIES CORP.
January 9, 1990 - December 24, 1990
GLOBAL CAPITAL SECURITIES, INC.
May 19, 1989 - February 22, 1990
BRENNAN ROSS SECURITIES, INC.
December 2, 1988 - March 20, 1989
INDIVIDUAL'S SECURITIES LTD.
January 3, 1986 - November 28, 1988
GREENTREE SECURITIES 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
Current Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 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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