George W. Goldman
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.
George Webster Goldman, who also goes by George Goldman, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1998. George had worked at 4 firms and has passed the Series 63, SIE 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
May 24, 2006 - August 26, 2016
OTR GLOBAL TRADING LLC
May 6, 2003 - August 26, 2016
OTR GLOBAL LLC
April 15, 1999 - December 31, 2008
OTA LLC
January 7, 1998 - March 17, 1998
RODMAN & RENSHAW 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
OTR GLOBAL TRADING LLC
CRD#: 138116 / SEC#: , 8-67147
Contact information
Documents
Disclosures
| Regulatory Event | 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.
