Samuel S. Goldenberg
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.
Samuel Skyler Goldenberg, who also goes by S. Skyler Goldenberg, Skyler Goldenberg, Samuel Skyler, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1996. Samuel had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2006 - June 22, 2015
TD AMERITRADE, INC.
April 26, 2006 - June 22, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 28, 2003 - May 17, 2006
TD AMERITRADE, INC.
June 1, 2000 - June 22, 2015
TD AMERITRADE, INC.
August 3, 1998 - June 9, 1999
BANC ONE SECURITIES CORPORATION
September 11, 1997 - August 19, 1998
MARQUIS INVESTMENTS, L.L.C.
August 1, 1996 - January 22, 1997
MORGAN KEEGAN & COMPANY, LLC
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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
