Robert L. Goss
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.
Robert Lewis Goss was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 15 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 29, 2009 - September 8, 2010
LMV CAPITAL CORP.
May 16, 2002 - March 12, 2009
GRANTA CAPITAL GROUP LLC
July 2, 1997 - May 1, 2002
DIRKS & COMPANY, INC.
November 29, 1995 - June 26, 1997
NATIONAL SECURITIES CORPORATION
May 24, 1995 - November 28, 1995
COLEMAN & COMPANY SECURITIES, INC.
June 21, 1991 - February 28, 1995
FAB SECURITIES OF AMERICA, INC.
September 7, 1988 - July 18, 1990
PHOENIX CAPITAL MARKETS, INC.
February 18, 1988 - September 9, 1988
OSCAR GRUSS & SON INCORPORATED
March 3, 1983 - February 9, 1988
TUCKER ANTHONY INCORPORATED
February 22, 1978 - March 28, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 16, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
September 26, 1972 - August 13, 1977
J.P. MORGAN SECURITIES LLC
March 1, 1972 - July 7, 1972
BURLINGTON SECURITIES CORP
June 14, 1971 - January 10, 1972
DOMIK CORP.
August 4, 1969 - July 17, 1971
MESIROW FINANCIAL, 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: 7/27/1977
AMEX Put and Call ExamSeries 1
Date: 2/16/1960
Registered Representative ExaminationCurrent Firm
LMV CAPITAL CORP.
CRD#: 148745 / SEC#: , 8-68061
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
