Jay S. Goldsmith
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.
Jay Sheldon Goldsmith was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1967. Jay had worked at 4 firms and has passed the PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1977 - October 5, 2006
BALFOUR INVESTORS INC.
March 20, 1974 - December 12, 1975
DEAN WITTER & CO. INCORPORATED
September 19, 1973 - May 25, 1974
E. F. HUTTON & COMPANY INC
August 10, 1973 - September 15, 1973
DEAN WITTER & CO. INCORPORATED
October 3, 1967 - July 31, 1973
HAYDEN STONE INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 6/16/1977
AMEX Put and Call ExamSeries 1
Date: 10/2/1967
Registered Representative ExaminationSeries 40
Date: 4/29/1976
Registered Principal ExaminationCurrent Firm
BALFOUR INVESTORS INC.
CRD#: 7382 / SEC#: , 8-18488
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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