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Hayden B. Gold

Some features on this profile are disabled
CRD#: 1978052
HG

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.

Hayden Barry Gold, who also goes by Barry H Gold, was a registered financial professional .

Hayden is a previously registered financial professional and started their career in finance in 1989. Hayden had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Barry H Gold

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2015 - November 12, 2015

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

May 15, 2015 - June 8, 2015

KATALYST SECURITIES LLC

BD
CRD#: 112494
new york, NY
Past

November 4, 2011 - April 16, 2015

AEGIS CAPITAL CORP.

BD
CRD#: 15007
MELVILLE, NY
Past

August 22, 2008 - November 11, 2011

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
SYOSSET, NY
Past

January 23, 2007 - August 18, 2008

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
SYOSSET, NY
Past

May 5, 2006 - January 25, 2007

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
SYOSSET, NY
Past

July 12, 2005 - May 5, 2006

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
SYOSSET, NY
Past

April 30, 2004 - April 20, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

August 19, 2002 - April 29, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

May 4, 1999 - August 19, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 24, 1994 - April 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 22, 1989 - November 3, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/1/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination

Current Firm

RG
ROCKWELL GLOBAL CAPITAL LLC
ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485 / SEC#: , 8-67467

BD
Terminated by SEC on 02/14/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/21/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUARINO, BRUCE JUDEOPERATING OFFICER1096719
GUARINO, DOUGLAS JOSEPHCCO1771389

Disclosures

Regulatory Event1
Arbitration7

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.

Company Information

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

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