Robert M. Goldman

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CRD#: 1626616

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 Martin Goldman was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 16, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 25, 2016 - October 28, 2016

NEW RYE SECURITIES, LLC

CRD#: 165400

HAWTHORNE, NY

Past

March 25, 2014 - April 7, 2014

IFS SECURITIES

CRD#: 40375

JERSEY CITY, NJ

Past

March 8, 2010 - October 21, 2013

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

NEW YORK, NY

Past

March 27, 2007 - January 5, 2010

SUMMER STREET RESEARCH PARTNERS

CRD#: 127142

BOSTON, MA

Past

April 27, 2005 - February 21, 2007

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

February 12, 2002 - April 22, 2005

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

CRD#: 13233

NEW YORK, NY

Past

October 6, 2000 - January 29, 2002

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

February 10, 1998 - February 16, 2000

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

November 28, 1997 - March 3, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

January 17, 1994 - March 3, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 25, 1987 - March 15, 1988

WILLIAM BLAIR

CRD#: 1252

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 12/22/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/28/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 9/28/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 16

Date: 6/25/2001

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 55

Date: 3/13/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/3/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/7/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/1998

General Securities Principal Examination

Current Firm

NEW RYE SECURITIES, LLC

NEW RYE CAPITAL, LLC | NEW RYE SECURITIES, LLC

CRD#: 165400 / SEC#: , 8-69159

Terminated by SEC on 06/01/2020

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 07/17/2012

Firm type

Corporation

Fiscal year end

September

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
CALLAGHAN, JOHN PATRICK	MANAGING DIRECTOR, PRESIDENT, EXECUTIVE REPRESENTATIVE, AND SHAREHOLDER
HELLER, JEFFREY PHILIP	FINOP AND CHIEF FINANCIAL OFFICER	3139370
KRAUS, MICHAEL JOSEPH	CHIEF COMPLIANCE OFFICER	1270274

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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Advisor Monitoring

Firm Stability Insights

Robert M. Goldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IFS SECURITIES

C. L. KING & ASSOCIATES, INC.

SUMMER STREET RESEARCH PARTNERS

KEYBANC CAPITAL MARKETS INC.

THE BUCKINGHAM RESEARCH GROUP INCORPORATED

CREDIT AGRICOLE SECURITIES (USA) INC.

BNP PARIBAS SECURITIES CORP.

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

WILLIAM BLAIR

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2005

SIE

Date: 10/28/2016

Series 87

Date: 9/28/2004

Series 16

Date: 6/25/2001

Series 55

Date: 3/13/2001

Series 7

Date: 3/21/1987

Series 10

Date: 1/3/2001

Series 9

Date: 12/7/2000

Series 24

Date: 4/20/1998

Current Firm

NEW RYE SECURITIES, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

NEW RYE SECURITIES, LLC

TRUST BUT VERIFY

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