Robert E. Gouldman
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 Earl Gouldman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 15, 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
February 15, 2005 - March 31, 2023
REGISTER FINANCIAL ASSOCIATES, INC.
January 2, 2002 - March 8, 2005
CITIGROUP GLOBAL MARKETS INC.
June 21, 1989 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
January 6, 1977 - June 8, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
May 19, 1970 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 5/8/1984
Foreign Currency Options ExaminationPC
Date: 8/29/1977
AMEX Put and Call ExamSeries 1
Date: 8/21/1959
Registered Representative ExaminationCurrent Firm
REGISTER FINANCIAL ASSOCIATES, INC.
CRD#: 30568 / SEC#: , 8-45012
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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