Robert A. 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.
Robert Alan Goldberg was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 11 firms and has passed the Series 63, Series 55, Series 7 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
November 28, 2005 - May 1, 2006
MONARCH FINANCIAL CORPORATION OF AMERICA
October 18, 2004 - November 17, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
October 26, 2001 - November 28, 2003
LONG PLAY SECURITIES, INC.
November 29, 1993 - November 26, 2001
GOLDIS FINANCIAL GROUP, INC.
June 18, 1993 - January 1, 1994
EMANUEL AND COMPANY
July 10, 1991 - May 24, 1993
CHATFIELD DEAN & CO., INC.
February 14, 1991 - August 14, 1991
AMERICAN BOND GROUP, INC.
September 21, 1989 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
October 27, 1987 - December 18, 1989
LOMBARD SECURITIES CORP.
September 11, 1987 - November 3, 1987
PRESTIGE INVESTORS, INC.
July 6, 1987 - September 1, 1987
INVESTMENT BROKERS OF AMERICA
April 1, 1987 - July 6, 1987
PRESTIGE INVESTORS, INC.
December 23, 1986 - March 19, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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 55
Date: 4/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
MONARCH FINANCIAL CORPORATION OF AMERICA
CRD#: 23437 / SEC#: , 8-40433
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| 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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