Ronald P. 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.
Ronald Paul Goldstein, who also goes by Ronald Goldstein, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2010. Ronald had worked at 2 firms and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2013 - January 13, 2017
RONALD P. GOLDSTEIN
June 26, 2012 - April 2, 2013
HUTCHINSON CAPITAL MANAGEMENT
February 8, 2010 - December 31, 2011
HUTCHINSON CAPITAL MANAGEMENT
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 2
Date: 11/17/1994
Non-Member General Securities ExaminationCurrent Firm
RONALD P. GOLDSTEIN
CRD#: 167359 / SEC#:
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| California | ERA - Withdrawn | 5/8/2013 |
| Connecticut | ERA - Withdrawn | 5/8/2013 |
| Florida | ERA - Withdrawn | 5/8/2013 |
| New Mexico | ERA - Withdrawn | 5/8/2013 |
| New York | ERA - Withdrawn | 5/8/2013 |
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.
