Tracy A. Goldenberg
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.
Tracy Anne Goldenberg, CFP®, who also goes by Tracy Anne Salomon, was a registered financial advisor .
Tracy is a previously registered financial advisor and started their career in finance in 1989. Tracy had worked at 6 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
Start date: 2002
Experience
March 3, 2011 - June 1, 2011
TRIAD SECURITIES CORP
December 6, 2007 - March 5, 2009
SUMMIT EQUITIES, INC.
July 18, 2007 - March 5, 2009
SUMMIT EQUITIES, INC.
September 12, 2006 - March 13, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 12, 2006 - March 13, 2007
MSI FINANCIAL SERVICES, INC.
January 2, 2004 - August 19, 2005
METROPOLITAN LIFE INSURANCE COMPANY
January 2, 2004 - August 19, 2005
MSI FINANCIAL SERVICES, INC.
December 5, 1997 - May 17, 2002
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
September 9, 1991 - April 12, 1993
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 1, 1989 - April 17, 1991
LEHMAN BROTHERS INC.
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
TRIAD SECURITIES CORP
CRD#: 11363 / SEC#: , 8-20930
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | SHAREHOLDER | |
| ARTICLE 6TH TRUST UW RICHARD SCHULTZ, JUDITH SCHULTZ TTEE | SHAREHOLDER | |
| CYNTHIA HORNIG 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| KEVIN SCHULTZ 2011 GST EXEMPT TRUST U/D 8/10/2011 | SHAREHOLDER | |
| FISHER, KENNETH ALAN | CEO | 4631540 |
| GOLDSMITH, LAWRENCE HARRY | DIRECTOR OF OPERATIONS/PRESIDENT | 1386783 |
| HOEHLER, TIMOTHY WILLIAM | CHIEF COMPLIANCE OFFICER | 2176769 |
| HORNIG, CYNTHIA | TRUSTEE-CYNTHIA HORNIG TRUST | 5989716 |
| LINDEN, ARTHUR AARON | SECRETARY/TREASURER | 1230452 |
| ROTHENBERG, SHARI P | FINOP/POO | 6590875 |
| SCHULTZ, JUDITH | TRUSTEE-ARTICLE 6TH TRUST | 6041541 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN M. SCHULTZ 2020 GST EXEMPT TRUST | 1779792 |
| SCHULTZ, KEVIN MATTHEW | TRUSTEE-KEVIN SCHULTZ TRUST | 1779792 |
Disclosures
| Regulatory Event | 2 |
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.
