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 Allen Goldberg, who also goes by Bob Goldberg, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 6 firms and has passed the Series 65, 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
October 10, 2019 - December 22, 2022
PURSHE KAPLAN STERLING INVESTMENTS
July 4, 2019 - March 24, 2025
INSIGHT ADVISORS, LLC
January 17, 2014 - July 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2014 - July 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 13, 2005 - January 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2005 - January 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2002 - May 17, 2005
MORGAN STANLEY DW INC.
November 23, 1999 - May 17, 2005
MORGAN STANLEY DW INC.
March 25, 1987 - November 30, 1999
A. G. EDWARDS & SONS, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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