John D. Goldsmith
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.
John David Goldsmith was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1988. John had worked at 4 firms and has passed the Series 63 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
November 13, 1995 - September 19, 1996
M.S. FARRELL & COMPANY, INC.
May 10, 1989 - May 18, 1995
D. H. BLAIR & CO., INC.
February 13, 1989 - June 5, 1989
LEHMAN BROTHERS INC.
September 20, 1988 - October 19, 1988
SOUTH RICHMOND SECURITIES, 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
M.S. FARRELL & COMPANY, INC.
CRD#: 24232 / SEC#: , 8-41157
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M.S. FARRELL HOLDINGS, INC. | OWNS APPLICANT | |
| DRAGON, THEODORE JOSEPH | DIRECTOR OF COMPLIANCE | 2831853 |
| GALLO, THOMAS ANTHONY | CHIEF EXECUTIVE OFFICER | 1705791 |
| NEUHAUS, LEONARD ALAN | CHIEF FINANCIAL OFFICER | 1871294 |
| REMPEL, BRENDAN CHRISTOPHER | PRESIDENT | 2121458 |
| SCHACKER, KEITH STUART | CHIEF OPERATING OFFICER/SROP/CROP | 1392793 |
| SCHACKER, MARTIN FARRELL | CHAIRMAN | 1133567 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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