Richard L. 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.
Richard Levy Goldberg, who also goes by Richard L Goldberg, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1967. Richard had worked at 11 firms and has passed the Series 63, PC, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 1989 - December 11, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 21, 1987 - October 27, 1987
LEHMAN BROTHERS INC.
September 27, 1985 - November 25, 1986
E. F. HUTTON & COMPANY INC
June 19, 1984 - July 10, 1985
JESUP & LAMONT SECURITIES CO., INC.
April 10, 1984 - May 6, 1985
UBS FINANCIAL SERVICES INC.
July 28, 1982 - September 26, 1983
RAUSCHER PIERCE REFSNES, INC.
September 26, 1978 - August 2, 1982
MEYERS SECURITIES CORPORATION
February 22, 1978 - September 10, 1978
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 24, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
February 26, 1974 - July 8, 1977
J.P. MORGAN SECURITIES LLC
August 4, 1971 - April 6, 1974
RODMAN & RENSHAW INC.
July 14, 1967 - July 12, 1971
J.P. MORGAN 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
PC
Date: 8/29/1989
AMEX Put and Call ExamSeries 1
Date: 7/12/1967
Registered Representative ExaminationSeries 00
Date: 7/21/1971
General Securities Principal ExaminationCurrent Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
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.
