Sammi E. Goldstein
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.
Sammi E Goldstein, who also goes by Sammi Ellyn Frenkel, Sammi Ellyn Goldstein, was a registered financial professional .
Sammi is a previously registered financial professional and started their career in finance in 1995. Sammi had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2022 - July 15, 2026
FIDELITY BROKERAGE SERVICES LLC
April 17, 2019 - November 11, 2021
CITY NATIONAL SECURITIES, INC.
April 17, 2019 - November 11, 2021
CITY NATIONAL SECURITIES, INC.
April 30, 2018 - February 14, 2019
AMERICAN FINANCIAL NETWORK ADVISORY SERVICES, LLC
April 23, 2018 - December 31, 2018
DFPG INVESTMENTS, LLC
June 23, 2017 - February 8, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
June 23, 2017 - February 8, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
January 19, 2016 - April 18, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 15, 2016 - April 18, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 4, 2015 - January 20, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 2, 2015 - January 20, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 17, 2012 - March 4, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 17, 2012 - March 4, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
June 27, 2001 - October 22, 2012
MARQUIS FINANCIAL SERVICES, INC.
October 6, 2000 - January 2, 2001
BENSON YORK GROUP, INC.
May 1, 1995 - November 11, 1998
UBS FINANCIAL SERVICES 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
