David R. Goldberg
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.
David Richard Goldberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2005 - December 31, 2011
RESOURCE HORIZONS GROUP LLC
January 1, 2004 - May 3, 2005
CETERA FINANCIAL SPECIALISTS LLC
August 1, 2002 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
May 1, 1979 - September 3, 2002
NEW ENGLAND SECURITIES
May 13, 1971 - January 18, 1979
SECURITY INVESTMENT SERVICES CORP.
August 25, 1970 - November 3, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 19, 1968 - June 14, 1971
EQUITY SALES 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
Series 1
Date: 11/12/1968
Registered Representative ExaminationCurrent Firm
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
