Andrew J. Goldberger
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.
Andrew Jay Goldberger, who also goes by Andy Goldberger, was a registered financial advisor .
Andrew is a previously registered financial advisor and started their career in finance in 1995. Andrew had worked at 4 firms and has passed the Series 65, Series 55 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
December 7, 2006 - December 31, 2007
GB MANAGEMENT, LLC
December 7, 2006 - October 30, 2009
AGB PARTNERS LLC
October 28, 2003 - March 24, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
July 19, 1995 - December 19, 2001
FIRST NEW YORK SECURITIES L.L.C.
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 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamCurrent firm
No current employment
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.
