Graham C. Goldsmith
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.
Graham Campbell Goldsmith, who also goes by Graham C Goldsmith, Graham Goldsmith, was a registered financial professional .
Graham is a previously registered financial professional and started their career in finance in 1994. Graham had worked at 2 firms and has passed the Series 63, Series 3, 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
January 8, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 8, 2009 - September 25, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1994 - April 7, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
