Ronald Goldfine
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 Goldfine was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1997. Ronald had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2008 - June 26, 2008
BASIS FINANCIAL, LLC
May 18, 2007 - January 24, 2008
MCBARRON CAPITAL LLC
February 16, 2006 - May 30, 2007
EASTBROOK CAPITAL GROUP LLC
May 2, 2005 - March 17, 2006
JOSEPH STEVENS & CO., INC.
March 5, 2003 - June 1, 2005
J.P. TURNER & COMPANY, L.L.C.
December 16, 2002 - February 26, 2003
LION'S GROUP TRADING LLC
June 25, 1999 - February 6, 2001
CARLIN EQUITIES, LLC
June 5, 1998 - June 28, 1999
J.P. TURNER & COMPANY, L.L.C.
July 1, 1997 - July 28, 1997
HAMPSHIRE SECURITIES CORPORATION
July 1, 1997 - June 17, 1998
FIRST METROPOLITAN SECURITIES, INC.
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
BASIS FINANCIAL, LLC
CRD#: 43694 / SEC#: , 8-50367
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
