Scott N. Goldfarb
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.
Scott Nathaniel Goldfarb was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1989. Scott had worked at 4 firms and has passed the Series 63, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2012 - November 13, 2013
DASH FINANCIAL TECHNOLOGIES LLC
July 9, 2003 - August 2, 2012
SRT SECURITIES LLC
August 20, 1993 - May 9, 1995
SUTRO & CO. INCORPORATED
April 10, 1992 - March 2, 1993
FIRST INTERREGIONAL EQUITY CORP.
June 20, 1989 - February 20, 1990
FIRST INTERREGIONAL EQUITY CORP.
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
Series 55
Date: 12/15/2008
Limited Representative-Equity Trader ExamCurrent Firm
DASH FINANCIAL TECHNOLOGIES LLC
CRD#: 104031 / SEC#: , 8-52503
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 68 |
Red Flags
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