Robert S. Goldberg

SEAPORT GLOBAL SECURITIES LLC

New York, NY 10017

Some features on this profile are disabled

CRD#: 1890196

Professional summary

Robert Seth Goldberg, who also goes by Robert S Goldberg, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1988. Robert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert S Goldberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Seth Goldberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 30, 2017 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 360 Madison Avenue 22nd Floor, New York, NY, 10017

CRD#: 116270

New York, NY

Past

November 28, 2011 - March 12, 2015

CHATHAM FINANCIAL SECURITIES LLC

CRD#: 118818

NEW YORK, NY

Past

June 12, 2008 - January 6, 2010

CHATHAM FINANCIAL SECURITIES LLC

CRD#: 118818

NEW YORK, NY

Past

May 9, 2005 - January 3, 2007

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

NEW YORK, NY

Past

July 1, 2002 - November 6, 2003

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

November 15, 1999 - June 18, 2002

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

October 19, 1988 - October 4, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(1/30/2017)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/9/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/1996

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

360 Madison Ave 22nd Floor, New York, NY 10017

Mailing Address

360 Madison Ave 22nd Floor, New York, NY 10017

Phone number

(212) 616-7700

Established

Delaware since 05/04/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SEAPORT GLOBAL HOLDINGS LLC	PARENT COMPANY
MEAGHER, MICHAEL JEFFERSON	CEO	1755168
MEYER, MICHAEL JOHN	FIXED INCOME TRADING SUPERVISOR	1746788
SMITH, STEPHEN CORCORAN	TREASURER	1248750
WITTHAUT, MARKUS CLEMENS	FINOP/CCO/CFO/PFO	4480831

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert S. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Seth Goldberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHATHAM FINANCIAL SECURITIES LLC

CHATHAM FINANCIAL SECURITIES LLC

W.R. HAMBRECHT + CO., LLC

BARCLAYS CAPITAL INC.

W.R. HAMBRECHT + CO., LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2014

Series 63

Date: 7/12/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

Series 24

Date: 6/26/1996

FINRA

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

SEAPORT GLOBAL SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SEAPORT GLOBAL SECURITIES LLC

TRUST BUT VERIFY

Similar Advisors