Stephen G. Goldfield
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.
Stephen Gary Goldfield was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 8 firms and has passed the Series 1 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
May 31, 1978 - January 23, 1980
SOCAL-EQUITIES, INC.
November 23, 1977 - May 26, 1978
M. S. WIEN & CO., INC.
June 6, 1974 - January 5, 1978
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
January 17, 1974 - July 11, 1974
INVESTORS FINANCIAL SERVICES, INC.
June 4, 1973 - February 21, 1974
FAIRMAN & CO.
February 27, 1973 - October 27, 1974
UNITED SECURITIES COMPANY OF AMERICA
March 5, 1971 - March 5, 1976
J SHAPIRO CO
January 29, 1970 - January 10, 1974
SECURITY PLANNING INCORPORATED
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: 6/9/1969
Registered Representative ExaminationSeries 00
Date: 11/24/1975
General Securities Principal ExaminationCurrent firm
No current employment
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.
