Mark E. 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.
Mark Edward Goldstein was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 4 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
December 7, 1999 - October 30, 2000
S.G. MARTIN SECURITIES LLC
February 25, 1998 - December 31, 1999
FIN-ATLANTIC SECURITIES, INC.
December 24, 1997 - February 24, 1998
FAIRCHILD FINANCIAL GROUP, INC.
September 22, 1997 - December 23, 1997
MONROE PARKER 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
S.G. MARTIN SECURITIES LLC
CRD#: 46908 / SEC#: , 8-51583
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
