Gabriel G. Goldfine
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.
Gabriel Gennady Goldfine, who also goes by Gabriel Goldfine, was a registered financial professional .
Gabriel is a previously registered financial professional and started their career in finance in 1991. Gabriel had worked at 15 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2011 - August 27, 2012
LEGEND SECURITIES, INC.
July 7, 2010 - December 14, 2011
BUCKMAN, BUCKMAN & REID, INC.
October 28, 2009 - July 7, 2010
LAMPERT CAPITAL MARKETS INC.
July 23, 2009 - November 10, 2009
FIRST MIDWEST SECURITIES, INC.
February 6, 2009 - August 17, 2009
REGAL SECURITIES, INC.
August 15, 2008 - February 26, 2009
FIRST MIDWEST SECURITIES, INC.
July 29, 2008 - August 18, 2008
THE CONCORD EQUITY GROUP, LLC
November 15, 2006 - July 16, 2008
BASIS FINANCIAL, LLC
June 16, 1997 - February 3, 1998
FIRST METROPOLITAN SECURITIES, INC.
December 12, 1996 - May 21, 1997
HAMPSHIRE SECURITIES CORPORATION
August 2, 1994 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
June 16, 1994 - August 2, 1994
MEYERS POLLOCK ROBBINS, INC.
February 1, 1994 - April 11, 1994
D. BLECH & COMPANY, INCORPORATED
January 10, 1994 - March 5, 1994
BARRETT DAY SECURITIES, INC.
February 11, 1993 - December 16, 1993
COMMONWEALTH ASSOCIATES
January 12, 1993 - December 16, 1993
COMMONWEALTH ASSOCIATES
July 10, 1991 - January 19, 1993
ROBERT TODD FINANCIAL CORP.
April 18, 1991 - August 6, 1991
COMMONWEALTH ASSOCIATES
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
