Carl A. Goldman
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.
Carl Allen Goldman was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1970. Carl had worked at 6 firms and has passed the Series 63, Series 1 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2006 - January 16, 2014
M.D. SASS SECURITIES, L.L.C.
February 28, 1992 - December 20, 2002
JERO LTD.
April 14, 1977 - January 15, 1992
CCC ADVISORS, INC.
July 2, 1973 - September 5, 1975
DUPONT WALSTON, INCORPORATED
January 5, 1972 - July 2, 1973
DUPONT GLORE FORGAN INC
August 21, 1970 - January 13, 1972
THOMSON MCKINNON SECURITIES 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: 2/12/1960
Registered Representative ExaminationF04
Date: 1/27/1977
Financial Principal ExaminationCurrent Firm
M.D. SASS SECURITIES, L.L.C.
CRD#: 139760 / SEC#: , 8-67246
Contact information
FINRA licenses (16 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
