Steven R. Goldstein
Professional summary
Steven Ross Goldstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Steven had worked at 8 firms, which includes JOSEPHTHAL & CO. INC., BARINGTON CAPITAL GROUP L.P., LAIDLAW GLOBAL SECURITIES INC., MONITOR INVESTMENT GROUP INC., EURO-ATLANTIC SECURITIES INC., H.J. MEYERS & CO. INC., AXIOM CAPITAL MANAGEMENT INC., CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 1998 - January 13, 2000
JOSEPHTHAL & CO., INC.
September 12, 1996 - February 10, 1998
BARINGTON CAPITAL GROUP, L.P.
July 23, 1996 - August 23, 1996
LAIDLAW GLOBAL SECURITIES, INC.
March 21, 1996 - July 25, 1996
MONITOR INVESTMENT GROUP, INC.
March 23, 1995 - February 21, 1996
EURO-ATLANTIC SECURITIES INC.
July 18, 1994 - March 16, 1995
H.J. MEYERS & CO., INC.
October 26, 1993 - July 21, 1994
AXIOM CAPITAL MANAGEMENT, INC.
August 21, 1991 - November 12, 1993
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
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