Barry V. Goldstein
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.
Barry Victor Goldstein was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1987. Barry had worked at 7 firms and has passed the Series 65, Series 63 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
March 5, 2007 - December 31, 2013
CADARET, GRANT & CO., INC.
July 12, 2000 - March 6, 2007
MML INVESTORS SERVICES, LLC
January 31, 2000 - July 5, 2000
NATHAN & LEWIS SECURITIES, INC.
February 4, 1991 - December 31, 1999
MML INVESTORS SERVICES, LLC
March 30, 1990 - October 31, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 30, 1990 - October 31, 1990
EQUITABLE ADVISORS, LLC
July 28, 1989 - January 16, 1990
BCA SECURITIES, L.P.
July 25, 1987 - June 16, 1989
TULLETT LIBERTY BROKERAGE 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
