Neil 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.
Neil Arthur Goldberg was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1987. Neil had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 6 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2018 - January 3, 2019
SSN ADVISORY, INC.
October 11, 2006 - July 15, 2026
ADVICEONE ADVISORY SERVICES, LLC
August 23, 2006 - December 5, 2019
SECURITIES SERVICE NETWORK, LLC
October 15, 1993 - March 1, 1999
VOYA FINANCIAL PARTNERS, LLC
May 28, 1987 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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 62
Date: 3/7/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
SSN ADVISORY, INC.
CRD#: 126090 / SEC#: 801-61989
Contact information
Documents
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.
