Robert A. Goldman

IMA WEALTH

Southbury, CT

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CRD#: 1976395

Professional summary

Robert Adam Goldman, who also goes by Rob Goldman, is a registered financial advisor currently at IMA WEALTH located in Southbury, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Robert has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Goldman

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) - RIA

Click below to view Robert Adam Goldman'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

March 6, 2024 - Present

IMA WEALTH

RIA

CRD#: 112091

Southbury, CT

Past

September 27, 2023 - November 10, 2023

USI ADVISORS

RIA

CRD#: 108113

Glastonbury, CT

Past

July 13, 2023 - November 10, 2023

USI SECURITIES, INC.

CRD#: 43793

GLASTONBURY, CT

Past

July 1, 2019 - December 31, 2022

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

January 4, 2017 - July 1, 2019

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

Southbury, CT

Past

December 20, 2006 - September 26, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

HARRISON, NY

Past

July 22, 2005 - January 4, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

February 7, 2002 - June 23, 2005

MMC SECURITIES LLC

RIA

CRD#: 103846

NORWALK, CT

Past

December 7, 2000 - June 23, 2005

MMC SECURITIES LLC

CRD#: 103846

NEW YORK, NY

Past

December 22, 1998 - October 31, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 17, 1992 - January 4, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 22, 1989 - December 1, 1992

DETWILER FENTON & CO.

CRD#: 1794

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IMA WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA

Registered Investment Advisory firm - SEC (2/5/2014 Approved)

Terminated by SEC on 02/16/2024

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/6/2024)

IAR

Connecticut
(6/7/2024)

IAR

Kansas
(6/7/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2023

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/27/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/30/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/19/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/27/2002

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 10/28/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/28/1999

General Securities Sales Supervisor - Options Module Examination

Current Firm

IMA WEALTH

CRD#: 112091 / SEC#: 801-79108, 8-53221

RIA

Registered Investment Advisory firm - SEC (2/5/2014 Approved)

Terminated by SEC on 02/16/2024

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Contact information

Main Address

1705 17th Street Suite 100, Denver, CO 80202

Mailing Address

430 E Douglas Ave Suite 400, Wichita, KS 67202

Phone number

(316) 266-6574

Established

Kansas since 06/23/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IMAAS PART 2A INVESTMENT ADV SERVICES (5/1/2025)

SYNTRINSIC (3/31/2025)

IMAAS PART 2A RETIREMENT PLAN SERVICES (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC.	SHAREHOLDER
DAVIS, PATRICIA LYNN	SVP, CCO, DIRECTOR	5613123
HOLT, RICHARD WILLIAM	PRESIDENT, DIRECTOR, CIO, FINOP	2778485
PAULY, ERIC MICHAEL	GENERAL COUNSEL/SECRETARY	7719772
POOL, SUSAN LOUISE	SENIOR VICE PRESIDENT/DIRECTOR	3178683

Regulatory assets under management

Total Number of Accounts	1,514
AUM (Assets Under Management)	$ 3,158,410,252

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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Firm Stability Insights

Robert A. Goldman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Adam Goldman's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI ADVISORS

USI SECURITIES, INC.

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA CAPITAL, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

MMC SECURITIES LLC

MMC SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

LPL FINANCIAL LLC

DETWILER FENTON & CO.

Primary Firm SEC Registration

IMA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2023

Series 65

Date: 12/27/1994

Series 63

Date: 9/14/1989

SIE

Date: 10/1/2018

Series 3

Date: 6/30/2000

Series 7

Date: 8/19/1989

Series 24

Date: 6/27/2002

Series 10

Date: 10/28/1999

Series 9

Date: 10/28/1999

Current Firm

IMA WEALTH

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

IMA WEALTH

TRUST BUT VERIFY

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