Andrew J. Goldberg
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.
Andrew Jason Goldberg, who also goes by Andrew J Goldberg, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 25, Series 55, 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
March 1, 2016 - May 31, 2018
BENJAMIN & JEROLD BROKERAGE I, LLC
April 24, 2015 - March 9, 2016
TRIPOINT GLOBAL EQUITIES/BANQ(R)
November 21, 2012 - May 28, 2015
BENJAMIN & JEROLD BROKERAGE I, LLC
April 13, 2011 - November 16, 2012
BGC FINANCIAL, L.P.
January 23, 2007 - April 1, 2011
DASH FINANCIAL TECHNOLOGIES LLC
February 9, 2006 - January 19, 2007
TAFFERER TRADING, LLC
October 7, 2005 - February 9, 2006
BLOCK ORDERS EXECUTION, LLC
May 3, 2005 - December 16, 2005
DASH FINANCIAL TECHNOLOGIES LLC
October 29, 2003 - May 18, 2005
STG SECURE TRADING GROUP, INC.
February 4, 2003 - November 6, 2003
G&L PARTNERS, LLC
September 28, 2001 - June 18, 2002
WORLDCO, L.L.C.
November 1, 2000 - March 7, 2001
KNIGHT CAPITAL AMERICAS, L.P.
July 1, 1996 - October 31, 2000
KNIGHT CAPITAL MARKETS 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
Series 25
Date: 7/16/2003
NYSE Trading Assistant ExaminationSeries 55
Date: 3/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| 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.
