Fred O. Goldman
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.
Fred Owen Goldman was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1988. Fred had worked at 19 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2007 - October 14, 2010
COMPASS PROFESSIONAL SERVICES EAST, LLC
January 3, 2007 - July 26, 2007
EQUITEC NEW YORK, LLC
May 11, 2006 - February 27, 2007
CC SECURITIES LDC
April 27, 2006 - January 6, 2011
AK CAPITAL, LLC
May 10, 2005 - November 3, 2017
RQD* CLEARING, LLC
October 15, 2003 - February 28, 2013
EQUITEC SPECIALISTS, LLC
February 24, 2003 - December 3, 2007
EQUITEC RS, LLC
November 1, 2002 - November 6, 2017
SPHINX TRADING, LP
September 25, 2002 - June 21, 2010
EQUITEC-PREMIER, LLC
September 25, 2002 - January 2, 2015
EQUITEC TRADING, LLC
September 3, 2002 - December 2, 2002
EQUITEC-FELDMAN, LLC
September 3, 2002 - August 1, 2008
EQUITEC-BROWN, LLC
September 3, 2002 - August 19, 2008
EQUITEC-SCHWARTZ, LLC
September 3, 2002 - January 15, 2010
EQUITEC-FURMAN, LLC
August 23, 2002 - April 1, 2011
EQUITEC STRUCTURED PRODUCTS,LLC
August 23, 2002 - December 26, 2017
EQUITEC PROPRIETARY MARKETS, LLC
January 5, 1999 - November 26, 2007
CASTLEWOOD SECURITIES, L.L.C.
September 5, 1996 - November 24, 1998
DEEPHAVEN MARKET NEUTRAL TRADING LIMITED
August 29, 1988 - December 20, 1994
KESSLER ASHER CLEARING L.P.
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
COMPASS PROFESSIONAL SERVICES EAST, LLC
CRD#: 141724 / SEC#: , 8-67409
Contact information
Documents
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.
