Marc D. Goldfarb
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.
Marc Dana Goldfarb was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1986. Marc had worked at 11 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
May 12, 2011 - December 31, 2014
J.H. DARBIE & CO., INC.
July 2, 2009 - November 2, 2009
HEROLD & LANTERN INVESTMENTS, INC.
October 31, 2002 - July 6, 2009
AEGIS CAPITAL CORP.
February 1, 2002 - November 1, 2002
DIRKS & COMPANY, INC.
April 2, 1996 - January 31, 2002
FIRST WALL STREET CORP.
April 13, 1994 - January 1, 1997
THOMAS GREEN SECURITIES, INC.
January 19, 1993 - October 12, 1993
THOMAS GREEN SECURITIES, INC.
October 29, 1992 - November 9, 1992
CAL STATE SECURITIES CORP.
July 11, 1991 - October 14, 1991
UBS FINANCIAL SERVICES INC.
January 10, 1989 - August 22, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 23, 1988 - June 1, 1988
KENNEDY, CABOT & CO.
November 17, 1986 - March 16, 1988
KINGSTONE PRATO, 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
