John 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.
John Goldsmith, who also goes by John H Goldsmith, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1964. John had worked at 13 firms and has passed the Series 63, 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
September 30, 2010 - December 18, 2012
CAPITOL SECURITIES & ASSOCIATES, INC.
September 30, 2010 - October 2, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
June 24, 2005 - August 20, 2010
MADISON MARQUETTE SECURITIES LLC
February 4, 2002 - April 7, 2003
RBC CAPITAL MARKETS, LLC
February 24, 1989 - December 3, 1996
JOHN HANCOCK CLEARING CORPORATION
March 9, 1988 - March 8, 2002
TUCKER ANTHONY INCORPORATED
July 9, 1987 - December 23, 1987
WELLS FARGO CLEARING SERVICES, LLC
August 14, 1978 - December 23, 1987
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
April 5, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
August 24, 1973 - April 5, 1976
PRESCOTT, BALL & TURBEN
September 24, 1971 - August 24, 1973
PRESCOTT, MERRILL, TURBEN & CO.
August 3, 1964 - August 26, 1971
L. F. ROTHSCHILD & CO. 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: 5/20/1963
Registered Representative ExaminationSeries 40
Date: 3/27/1972
Registered Principal ExaminationCurrent Firm
CAPITOL SECURITIES & ASSOCIATES, INC.
CRD#: 7278 / SEC#: , 8-21058
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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