Steven A. Gold
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 Adam Gold was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 12 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - June 23, 2021
S F SENTRY SECURITIES, INC.
October 19, 2016 - January 15, 2018
RAINMAKER SECURITIES, LLC
March 3, 2016 - November 9, 2016
ROBERTSON STEPHENS ADVISORS
March 2, 2016 - November 9, 2016
ROBERTSON STEPHENS SECURITIES
October 16, 2013 - February 18, 2016
RAINMAKER SECURITIES, LLC
July 30, 2012 - September 4, 2019
SP INVESTMENTS MANAGEMENT, LLC
July 24, 2012 - May 20, 2013
FORGE SECURITIES LLC
July 15, 2010 - May 17, 2011
CITIGROUP GLOBAL MARKETS INC.
June 28, 2010 - May 17, 2011
CITIGROUP GLOBAL MARKETS INC.
March 13, 2006 - June 4, 2010
BMO FAMILY OFFICE, LLC
August 28, 2003 - October 10, 2005
MORGAN STANLEY DW INC.
June 30, 2003 - October 10, 2005
MORGAN STANLEY DW INC.
July 30, 1999 - June 12, 2000
CITIGROUP GLOBAL MARKETS INC.
December 10, 1997 - June 17, 1999
BANC OF AMERICA SECURITIES LLC
June 26, 1997 - August 6, 1997
SMITH CULVER INVESTMENTS
January 13, 1994 - July 31, 1995
SCHRODER & CO. INC.
State Registrations and Notice Filings
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Exams
Current Firm
S F SENTRY SECURITIES, INC.
CRD#: 27432 / SEC#: , 8-43101
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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