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SG

Seth D. Goldberg

BUCKLER SECURITIES LLC
Greenwich, CT 06831
Some features on this profile are disabled
CRD#: 1994790
SG

Professional summary

Seth David Goldberg, who also goes by Seth David Goldberg, is a registered financial professional currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut.

Seth is registered as a RR (Registered Representative) and started their career in finance in 1989. Seth has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seth David Goldberg

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) - BD

Click below to view Seth David Goldberg's 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

January 17, 2024 - Present

BUCKLER SECURITIES LLC

Office #1: 5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
BD
CRD#: 284576
Greenwich, CT
Past

April 1, 2022 - January 17, 2024

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

February 13, 2017 - November 9, 2020

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
NEW YORK, NY
Past

June 16, 2009 - October 13, 2016

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

July 14, 1997 - May 4, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
STAMFORD, CT
Past

May 16, 1994 - July 23, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY
Past

October 25, 1989 - May 20, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/30/2024)
RR
California
(1/18/2024)
RR
Connecticut
(1/18/2024)
RR
Delaware
(1/31/2024)
RR
Florida
(1/22/2024)
RR
Illinois
(1/25/2024)
RR
Maryland
(1/22/2024)
RR
Massachusetts
(1/18/2024)
RR
Missouri
(11/6/2024)
RR
New Jersey
(1/22/2024)
RR
New York
(1/22/2024)
RR
North Carolina
(1/18/2024)
RR
Ohio
(1/19/2024)
RR
Pennsylvania
(1/18/2024)
RR
Texas
(1/18/2024)
RR
Wisconsin
(1/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/19/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/14/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BUCKLER SECURITIES LLC
BUCKLER SECURITIES LLC

CRD#: 284576 / SEC#: , 8-69807

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
Mailing Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831
Phone number
(203) 633-2225
Established
Delaware since 04/28/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ULM, SCOTT JEFFREYPRINCIPAL1575205
ZIMMER, JEFFREY JOHNSONPRINCIPLE1303531
ARMOUR TRS INCSHAREHOLDER
CONIGLIARIO, THOMAS JOSEPHCHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER1366831
ESANNASON, CARLO YVANCCO4869110
HARPER, GORDON MACKAYCHIEF FINANCIAL OFFICER6632019
JOSHI, JAI PAULCHIEF RISK OFFICER2263070
KOKKO, LASSE ARTTURIPRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP6976957
MISIANO, RICHARD JOHNCHIEF EXECUTIVE OFFICER2339879

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

BUCKLER SECURITIES LLC

CRD#: 284576Greenwich, CT 06831

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