Steven A. Goldfarb
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.
Steven Arnold Goldfarb was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 2012 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
February 15, 2012 - May 10, 2012
SRT SECURITIES LLC
March 29, 2005 - June 12, 2009
PALI CAPITAL, INC.
June 20, 2003 - March 18, 2005
US TRADING LLC
April 30, 2002 - June 25, 2003
PALI CAPITAL, INC.
March 25, 2002 - April 30, 2002
PALI CAPITAL, LLC
May 18, 1998 - December 23, 1999
CARLIN EQUITIES, LLC
May 10, 1996 - December 16, 1997
SUSQUEHANNA FINANCIAL GROUP, LLLP
August 13, 1993 - December 16, 1997
SIG SPECIALISTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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