Kerry S. 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.
Kerry Steven Goldberg was a registered financial professional .
Kerry is a previously registered financial professional and started their career in finance in 1987. Kerry had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2006 - January 3, 2017
THE LEADERS GROUP, INC.
March 25, 1999 - February 3, 2006
HORNOR, TOWNSEND & KENT, LLC
September 4, 1997 - March 25, 1999
SII INVESTMENTS, INC.
January 8, 1997 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
February 6, 1992 - January 15, 1997
NEW ENGLAND SECURITIES
February 26, 1987 - January 13, 1992
MONY SECURITIES CORPORATION
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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