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Neal I. Goldman

Some features on this profile are disabled
CRD#: 224358
NG

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.

Neal Ira Goldman was a registered financial professional .

Neal is a previously registered financial professional and started their career in finance in 1966. Neal had worked at 8 firms and has passed the Series 63, Series 1, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 9, 1985 - February 21, 2014

GOLDMAN CAPITAL MANAGEMENT, INC.

BD
CRD#: 16736
NEW YORK, NY
Past

March 16, 1981 - March 5, 1986

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

December 5, 1980 - April 6, 1981

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
Past

June 3, 1980 - December 7, 1980

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

February 23, 1979 - May 16, 1980

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

April 28, 1976 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

BD
CRD#: 7501
Past

June 30, 1975 - April 28, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC.

BD
CRD#: 6679
Past

July 5, 1973 - July 27, 1975

BRUNS, NORDEMAN, REA & CO.

BD
CRD#: 6589
Past

January 13, 1972 - July 12, 1973

RUSS & COMPANY INCORPORATED

BD
CRD#: 1000003
Past

December 6, 1966 - February 10, 1972

BRUNS, NORDEMAN, REA & CO.

BD
CRD#: 6589

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 12/5/1966
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/22/1986
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/1985
General Securities Principal Examination

Current Firm

GC
GOLDMAN CAPITAL MANAGEMENT, INC.
GOLDMAN CAPITAL MANAGEMENT, INC.

CRD#: 16736 / SEC#: 801-25646, 8-34476

BD
Terminated by SEC on 02/21/2014
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Contact information

Main Address
767 Third Avenue 25th Floor, New York, NY 10017
Mailing Address
Phone number
Established
New York since 06/19/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FEBRUARY 2017 FIRM BROCHURE AND BROCHURE SUPPLEMENT (2/24/2017)

Direct owners and executive officers

NamePositionCRD#
GOLDMAN, NEAL IRAPRESIDENT, DIRECTOR,CHIEF COMPLIANCE OFFICER224358
FLYNN, THOMAS FRANCISTREASURER, FINOP210413

Disclosures

Regulatory Event1

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.

Company Information

GOLDMAN CAPITAL MANAGEMENT, INC.

CRD#: 16736

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