David P. Goldman
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.
David Paul Goldman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 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
September 2, 2014 - February 10, 2016
AMTD FINANCIAL MARKETS (USA) LLC
January 9, 2006 - October 16, 2006
CANTOR FITZGERALD SECURITIES
January 6, 2006 - December 18, 2006
CANTOR FITZGERALD & CO.
July 22, 2002 - July 8, 2005
BANC OF AMERICA SECURITIES LLC
September 11, 1998 - May 23, 2002
CREDIT SUISSE SECURITIES (USA) LLC
October 7, 1994 - September 17, 1996
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
AMTD FINANCIAL MARKETS (USA) LLC
CRD#: 165313 / SEC#: , 8-69154
Contact information
Documents
Red Flags
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