Alan H. Goldenberg
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.
Alan H Goldenberg JR, who also goes by Alan H Jr Goldenberg, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1986. Alan had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2006 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
March 30, 2006 - April 20, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 8, 2004 - April 4, 2006
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
May 13, 1986 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
March 21, 1986 - December 31, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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