Leah Golodner
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.
Leah Golodner was a registered financial professional .
Leah is a previously registered financial professional and started their career in finance in 1967. Leah had worked at 5 firms and has passed the Series 63, 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
September 26, 1991 - October 13, 1999
ADVANTAGE CAPITAL CORPORATION
September 17, 1985 - September 13, 1991
UBS FINANCIAL SERVICES INC.
February 17, 1978 - October 16, 1985
E. F. HUTTON & COMPANY INC
August 24, 1971 - March 1, 1978
FIRST UNION CAPITAL MARKETS CORP.
December 19, 1967 - October 27, 1971
FERRIS, BAKER WATTS, LLC
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: 8/30/1977
AMEX Put and Call ExamSeries 1
Date: 9/29/1955
Registered Representative ExaminationCurrent Firm
ADVANTAGE CAPITAL CORPORATION
CRD#: 146 / SEC#: , 8-5072
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP INC. | SHAREHOLDER | |
| FIELDS, INGER WILSON | FNOP | 1690043 |
| KRUSSEL, PETER | CHIEF COMPLIANCE OFFICER | 2534106 |
| PEET, WILLIAM GERARD | MUNICIPAL PRINCIPAL | 2139630 |
| PRATER, HELEN HOWARD | COO | 1354495 |
| ROTH, RALPH LAWRENCE | DIRECTOR | 1432179 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR/SVP/TREASURER/CFO | 1292456 |
| SCHLAFLY, MARK JOSEPH | PRESIDENT/CEO | 1091509 |
| SHIPLEY, THOMAS ALLEN | SVP | 422266 |
| SORKIN, NOAH DAVID | DIRECTOR | |
| WELLS, THOMAS MELVIN | CLO, SVP, SECRETARY | 731190 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
| Bond | 1 |
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.
