Scott A. Goswami

SUMMIT, NJ

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CRD#: 2518987

Professional summary

Scott Achal Goswami, who also goes by Achal R Goswami, Scott A Goswami, Scott Goswami, was a registered financial advisor .

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Scott had worked at 4 firms and has passed the Series 63, SIE, Series 99 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Achal R Goswami | Scott A Goswami | Scott Goswami

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

Current

November 5, 2025 - Present

SUMMIT, NJ

Past

June 19, 2012 - July 7, 2021

RBC CAPITAL MARKETS, LLC

CRD#: 31194

Jersey City, NJ

Past

August 27, 1997 - December 9, 1997

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

October 17, 1994 - August 16, 1996

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 6/18/2012

Operations Professional Examination

General Industry/Product Exam

Series 7

Date: 10/14/1994

General Securities Representative Examination

Current firm

No current employment

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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Scott A. Goswami

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

BNP PARIBAS SECURITIES CORP.

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/3/1995

SIE

Date: 10/1/2018

Series 99

Date: 6/18/2012

Series 7

Date: 10/14/1994

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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