Stephen H. Goldstein
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.
Stephen Howard Goldstein was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 7 firms and has passed the Series 63, Series 55, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2011 - October 8, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 19, 2011 - December 20, 2011
CHIMERA SECURITIES, LLC
November 5, 2002 - December 31, 2009
SUMMIT BROKERAGE SERVICES, INC.
July 3, 2002 - November 22, 2002
SALOMON GREY FINANCIAL CORPORATION
November 5, 1998 - July 17, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 7, 1997 - November 4, 1998
THE INVESTMENT CENTER, INC.
March 18, 1994 - January 15, 1997
MORGAN STANLEY DW 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
Series 55
Date: 8/16/2001
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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