William J. Goldenberg

SHORELINE CAPITAL

Boothbay Harbor, ME 04538

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CRD#: 1485326

Professional summary

William Joseph Goldenberg is a registered financial advisor currently at SHORELINE CAPITAL CORPORATION located in Boothbay Harbor, Maine.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. William has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph Goldenberg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 8, 2001 - Present

SHORELINE CAPITAL CORPORATION

Office #1: 11 Granary Way, Boothbay Harbor, ME 04538

RIA

CRD#: 128530

Boothbay Harbor, ME

Past

March 17, 1994 - July 25, 1995

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

April 9, 1986 - September 11, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Maine
(8/8/2017)

IAR

Massachusetts
(5/8/2001)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/12/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/9/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/8/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SHORELINE CAPITAL CORPORATION

SHORELINE CAPITAL CORPORATION | SHORELINE CAPITAL CORPORATION INC.

CRD#: 128530 / SEC#: 801-68355

RIA

Registered Investment Advisory firm - (5/5/2009 Terminated)

Maine

Registered Investment Advisory firm - (8/8/2017 Approved)

Massachusetts

Registered Investment Advisory firm - (3/26/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11 Granary Way, Boothbay Harbor, ME 04538

Mailing Address

Po Box 91, Boothbay Harbor, ME 04538

Phone number

(781) 248-2132

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	23
AUM (Assets Under Management)	$ 72,906,471

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.

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William J. Goldenberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Joseph Goldenberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHORELINE CAPITAL CORPORATION

MORGAN STANLEY & CO. LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/12/2001

Series 63

Date: 5/25/1994

Series 7

Date: 2/9/1994

Series 6

Date: 4/8/1986

Current Firm

SHORELINE CAPITAL CORPORATION

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SHORELINE CAPITAL CORPORATION

TRUST BUT VERIFY

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