Sheldon L. Goodman
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.
Sheldon Lawrence Goodman was a registered financial professional .
Sheldon is a previously registered financial professional and started their career in finance in 1970. Sheldon had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
November 7, 2016 - December 12, 2017
NEWEDGE SECURITIES, LLC
February 17, 2005 - November 14, 2022
NORTH STAR INVESTMENT MANAGEMENT CORPORATION
January 5, 2004 - November 7, 2016
NORTH STAR INVESTMENT SERVICES, INC.
August 5, 2000 - January 6, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 23, 1997 - August 5, 2000
GLEACHER & COMPANY SECURITIES, INC.
February 22, 1993 - January 22, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
March 14, 1991 - February 23, 1993
DAIN RAUSCHER INCORPORATED
May 22, 1989 - March 25, 1991
GRUNTAL & CO., L.L.C.
September 8, 1970 - May 23, 1989
J.P. MORGAN SECURITIES 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: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/25/1968
Registered Representative ExaminationCurrent Firm
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
