RG
Ronald B. Goldman
CROFT & BENDER, LP
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 3061431
RG
Professional summary
Ronald Bruce Goldman, who also goes by Ronnie Goldman, is a registered financial professional currently at CROFT & BENDER, LP located in Atlanta, Georgia.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1999. Ronald has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ronnie Goldman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Ronald Bruce Goldman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 16, 1999 - Present
CROFT & BENDER, LP
Office #1: 4401 Northside Parkway, Suite 395, Atlanta, GA 30327Office #2: 4401 Northside Parkway, Suite 395, Atlanta, GA 30327RIA
BD
CRD#: 46680
Atlanta, GA
Past
March 4, 1999 - July 12, 1999
CARTER, TERRY & COMPANY, INC.
BD
CRD#: 16365
ATLANTA, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/15/1999)
RR
Arkansas(4/6/2006)
RR
California(10/15/1999)
RR
Colorado(7/19/1999)
RR
Connecticut(10/15/1999)
RR
District of Columbia(4/11/2006)
RR
Florida(4/4/2006)
RR
Georgia(10/15/1999)
RR
Illinois(10/15/1999)
RR
Kentucky(4/10/2006)
RR
Louisiana(7/20/1999)
RR
Maryland(2/21/2001)
RR
Massachusetts(10/15/1999)
RR
Michigan(12/6/2016)
RR
Minnesota(10/31/2000)
RR
Mississippi(11/14/2022)
RR
Missouri(4/6/2006)
RR
New Jersey(12/6/2016)
RR
New York(10/15/1999)
RR
North Carolina(10/15/1999)
RR
North Dakota(4/12/2006)
RR
Ohio(2/2/2001)
RR
Pennsylvania(10/15/1999)
RR
South Carolina(10/19/1999)
RR
Tennessee(12/6/2016)
RR
Texas(10/15/1999)
RR
Virginia(5/26/2000)
RR
Washington(4/19/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
C&
CROFT & BENDER, LP
CROFT & BENDER, LLC | CROFT & BENDER, LP
CRD#: 46680 / SEC#: 802-110053, 8-51520
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
4401 Northside Parkway, Suite 395, Atlanta, GA 30327
Mailing Address
4401 Northside Parkway, Suite 395, Atlanta, GA 30327
Phone number
(404) 841-3131
Established
Georgia since 12/31/2014
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (28 States and Territories)
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Active | 2/18/2017 |
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.
