Jeffrey Goldstein
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.
Jeffrey Goldstein was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1972. Jeffrey had worked at 9 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - March 27, 2019
ACADEMY SECURITIES, INC.
June 30, 2006 - October 26, 2010
M. R. BEAL & COMPANY
June 28, 2002 - July 7, 2006
STERNE, AGEE & LEACH, INC.
March 2, 1998 - January 14, 2002
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 23, 1996 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
January 5, 1995 - February 12, 1996
J.P. MORGAN SECURITIES INC.
September 26, 1978 - April 2, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 8, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 11/2/1972
Registered Representative ExaminationCurrent Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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