Robert F. Goetting
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.
Robert Frank Goetting, who also goes by Robert F Goetting, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2017 - November 1, 2017
CELADON FINANCIAL GROUP LLC
March 3, 2016 - January 9, 2017
IFS SECURITIES
December 12, 2012 - April 10, 2014
SECUREVEST FINANCIAL GROUP
January 28, 2009 - December 20, 2012
B. RILEY WEALTH MANAGEMENT
September 12, 2007 - September 27, 2007
GH TRADERS LLC
January 4, 2006 - July 25, 2006
GH TRADERS LLC
April 1, 2004 - February 8, 2005
BROOKSTREET SECURITIES CORPORATION
May 23, 2002 - June 12, 2003
SWISS AMERICAN SECURITIES INC.
November 13, 2001 - May 6, 2002
BROOKSTREET SECURITIES CORPORATION
May 3, 2001 - October 17, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
June 8, 1998 - April 17, 2001
COMMERZBANK CAPITAL MARKETS CORP.
April 21, 1997 - December 12, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
August 15, 1996 - April 16, 1997
MIZUHO SECURITIES USA LLC
July 12, 1996 - April 16, 1997
MIZUHO SECURITIES USA LLC
July 5, 1996 - July 11, 1996
MIZUHO SECURITIES USA LLC
January 4, 1994 - May 8, 1996
FLEET ENTERPRISES, INC.
September 17, 1993 - December 14, 1993
UBS SECURITIES LLC
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
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
