Maurice 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.
Maurice Goldstein was a registered financial advisor .
Maurice is a previously registered financial advisor and started their career in finance in 1969. Maurice had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2009 - August 13, 2010
CRESCENT SECURITIES GROUP, INC.
March 3, 2009 - September 10, 2009
FFEC WEALTH PARTNERS LLC
February 2, 2009 - September 10, 2009
FFEC WEALTH PARTNERS LLC
July 10, 2006 - January 30, 2009
MILKIE/FERGUSON INVESTMENTS, INC.
November 29, 1995 - January 30, 2009
MILKIE/FERGUSON INVESTMENTS, INC.
September 12, 1984 - November 30, 1995
HILLTOP SECURITIES INC.
January 18, 1971 - September 14, 1984
INSTITUTIONAL EQUITY CORPORATION
June 17, 1969 - February 28, 1971
LING & COMPANY 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: 5/18/1977
AMEX Put and Call ExamSeries 1
Date: 11/1/1962
Registered Representative ExaminationCurrent Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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