Larry G. Goldston
Professional summary
Larry Gordon Goldston was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Larry had worked at 5 firms, which includes CAPROCK SECURITIES INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2007 - June 30, 2015
CAPROCK SECURITIES, INC.
October 6, 1998 - March 27, 2007
MORGAN STANLEY DW INC.
October 2, 1998 - March 27, 2007
MORGAN STANLEY DW INC.
September 6, 1991 - August 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 1989 - October 1, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1988 - September 16, 1989
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
CAPROCK SECURITIES, INC.
CRD#: 8014 / SEC#: , 8-24444
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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