Scott B. Goldberg

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CRD#: 2372711

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.

Scott Barry Goldberg was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 16, 2019 - March 4, 2020

BELVEDERE TRADING LLC

CRD#: 132605

CHICAGO, IL

Past

January 13, 2011 - April 29, 2011

VTRADER PRO, LLC

CRD#: 131920

SAN FRANCISCO, CA

Past

September 10, 2009 - October 18, 2010

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

April 20, 2009 - September 11, 2009

LIGHTHOUSE FINANCIAL GROUP, LLC

CRD#: 103734

NEW YORK, NY

Past

May 23, 2008 - April 21, 2009

NATIXIS SECURITIES NORTH AMERICA INC.

CRD#: 28722

NEW YORK, NY

Past

March 11, 2005 - April 29, 2008

SG AMERICAS SECURITIES, LLC

CRD#: 128351

NEW YORK, NY

Past

March 11, 2003 - July 29, 2004

KNIGHT EXECUTION PARTNERS LLC

CRD#: 104228

CHICAGO, IL

Past

March 11, 2003 - July 29, 2004

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

July 6, 2000 - February 27, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 16, 1993 - February 4, 1994

GRUNTAL & CO., L.L.C.

CRD#: 372

Past

August 23, 1993 - October 5, 1993

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 7/12/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 11/15/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 11/4/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/2/2003

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 7/25/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/5/2000

General Securities Representative Examination

Current Firm

BELVEDERE TRADING LLC

CRD#: 132605 / SEC#: , 8-66612

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

10 S Riverside Plaza Suite 2100, Chicago, IL 60606

Mailing Address

10 S. Riverside Plaza Suite 2100, Chicago, IL 60606

Phone number

(312) 893-3750

Established

Illinois since 01/25/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
BELVEDERE GROUP LLC	SOLE MEMBER
BABER, YEZDAAN AHMAD	CHIEF EXECUTIVE OFFICER	6229007
FORRER, RICHARDO THOMAS	COO/CFO	3089279
JONES, BRANDON WILLIAM	CHIEF COMPLIANCE OFFICER	6469268
MASSARELLI, JOHN JOSEPH	DIRECTOR OF RISK	3066703
MUEHLFELT, LISA ANN	FINOP	2535566

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Scott B. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VTRADER PRO, LLC

BNP PARIBAS SECURITIES CORP.

LIGHTHOUSE FINANCIAL GROUP, LLC

NATIXIS SECURITIES NORTH AMERICA INC.

SG AMERICAS SECURITIES, LLC

KNIGHT EXECUTION PARTNERS LLC

KNIGHT CAPITAL AMERICAS, L.P.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GRUNTAL & CO., L.L.C.

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/2000

Series 57TO

Date: 11/15/2019

SIE

Date: 11/4/2019

Series 3

Date: 12/2/2003

Series 55

Date: 7/25/2000

Series 7

Date: 7/5/2000

Current Firm

BELVEDERE TRADING LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BELVEDERE TRADING LLC

TRUST BUT VERIFY

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