Jeffrey W. Goldstein
Professional summary
Jeffrey William Goldstein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Jeffrey had worked at 3 firms, which includes HSBC BROKERAGE (USA) INC., CITICORP INVESTMENT SERVICES, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2000 - April 7, 2003
HSBC BROKERAGE (USA) INC.
September 25, 2000 - December 1, 2000
CITICORP INVESTMENT SERVICES
April 26, 1999 - August 24, 1999
MORGAN STANLEY DW 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
HSBC BROKERAGE (USA) INC.
CRD#: 6956 / SEC#: , 8-19814
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA) INC. | 100% SHAREHOLDER | |
| BENAK, MARVIN | SALES DIRECTOR | 3179319 |
| COON, DAVID BRUCE | HEAD OF SALES INFRASTRUCTURE | 720493 |
| ESPOSITO, RAYMOND | SALES DIRECTOR | 2271775 |
| FUREY III, THOMAS JOSEPH | DIRECTOR, CHIEF TRADING OFFICER | 4383891 |
| GALLINO, JOSEPH ANTHONY | ASSISTANT SECRETARY & CHIEF COMPLIANCE OFFICER | 1076376 |
| MCDONAGH, BRENDAN PAUL | DIRECTOR, CHAIRMAN | |
| MURNANE, JEREMIAH THOMAS | DIRECTOR | |
| PLIS, DANIEL JOSEPH | SALES DIRECTOR | 1316128 |
| SAMANIEGO, FABIAN ANABAL JR | DIRECTOR, COO & CFO | 1195996 |
| SCORDATO, DAVID VINCENT | SALES DIRECTOR | 1641185 |
| TUNG, GEA | SECRETARY | 2320421 |
| WEBSTER, GREGORY HAROLD | DIRECTOR, CEO & FIRM PRINCIPAL | 1494389 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
Red Flags
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