Jay J. Goldberg

HENNION & WALSH

Boca Raton, FL 33431

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CRD#: 1926399

Professional summary

Jay Justin Goldberg is a registered financial professional currently at HENNION & WALSH, INC. located in Boca Raton, Florida.

Jay is registered as a RR (Registered Representative) and started their career in finance in 2001. Jay has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Jay Justin 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

June 25, 2021 - Present

HENNION & WALSH, INC.

Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431

CRD#: 25766

Boca Raton, FL

Past

April 8, 2002 - June 15, 2021

FMSBONDS, INC.

CRD#: 7793

BOCA RATON, FL

Past

November 19, 2001 - March 28, 2002

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

October 24, 2001 - November 26, 2001

BLUESTONE CAPITAL CORP.

CRD#: 13516

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

Connecticut
(1/3/2023)

Florida
(6/25/2021)

Georgia
(7/27/2021)

Massachusetts
(8/23/2021)

Missouri
(1/22/2025)

New Jersey
(2/10/2022)

New York
(9/27/2021)

North Carolina
(8/10/2021)

Pennsylvania
(8/16/2021)

Texas
(2/2/2022)

Vermont
(9/9/2025)

Washington
(6/30/2022)

West Virginia
(12/9/2021)

Exams

State Security Law Exam

Series 63

Date: 2/14/2002

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: 10/23/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HENNION & WALSH, INC.

HENNION & WALSH, INC. | NORI, HENNION, WALSH, INC.

CRD#: 25766 / SEC#: , 8-41988

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

Mailing Address

2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018

Phone number

(973) 299-8989

Established

New Jersey since 10/24/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
HENNION, RICHARD	EXECUTIVE VICE PRESIDENT	1315386
WALSH, WILLIAM WALTER	PRESIDENT	1174993
FITZSIMMONS, PHILLIP	CHIEF COMPLIANCE OFFICER	1625889
HENNION, WILLIAM	VICE PRESIDENT	2048378
KOWALSKI, STEPHEN GEORGE	VICE PRESIDENT	1919574
MAHN, KEVIN DOUGLAS	MANAGING DIRECTOR	2519398
WURST, WENDY ANN	FINOP, TREASURER	1902879

Disclosures

Regulatory Event	12
Arbitration	6

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.

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Jay J. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jay Justin Goldberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

HENNION & WALSH, INC.

FMSBONDS, INC.

SANDS BROTHERS & CO., LTD.

BLUESTONE CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/14/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2001

FINRA

Current Firm

HENNION & WALSH, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HENNION & WALSH, INC.

TRUST BUT VERIFY

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