Jon M. 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.
Jon M Goldenberg, CFP®, who also goes by Jon M Goldenberg, Jon Muller Goldenberg, was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1993. Jon had worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2000
Experience
January 26, 2022 - November 8, 2024
CHARLES SCHWAB & CO., INC.
January 26, 2022 - November 8, 2024
CHARLES SCHWAB & CO., INC.
February 27, 2018 - October 14, 2022
TD AMERITRADE, INC.
February 26, 2018 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - July 29, 2024
TD AMERITRADE, INC.
August 18, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 15, 2015 - February 26, 2018
SCOTTRADE, INC.
August 8, 2012 - February 6, 2013
ANDREW GARRETT INC.
January 13, 2012 - February 26, 2013
CORDASCO FINANCIAL NETWORK, INC.
June 24, 2011 - January 5, 2012
RBC CAPITAL MARKETS, LLC
June 8, 2011 - January 5, 2012
RBC CAPITAL MARKETS, LLC
September 9, 2008 - December 14, 2010
EQUITABLE ADVISORS, LLC
September 9, 2008 - December 14, 2010
EQUITABLE ADVISORS, LLC
November 30, 2006 - April 11, 2008
PRESTIGE WEALTH MANAGEMENT GROUP, LLC
September 25, 2006 - March 12, 2008
LPL FINANCIAL LLC
September 25, 2006 - March 12, 2008
LPL FINANCIAL LLC
July 21, 2005 - July 24, 2006
NEW ENGLAND SECURITIES
June 14, 2002 - August 9, 2004
CHARLES SCHWAB & CO., INC.
June 15, 2000 - March 8, 2002
OSAIC WEALTH, INC.
September 10, 1993 - July 30, 1999
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
