Steven P. Goldberg
Professional summary
Steven Philip Goldberg was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Steven had worked at 5 firms, which includes MAYFAIR CAPITAL MARKETS LLC, BEDROK SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC., MORGAN STANLEY & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2013 - September 13, 2013
MAYFAIR CAPITAL MARKETS LLC
February 2, 2009 - May 17, 2013
BEDROK SECURITIES LLC
March 6, 2007 - February 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2005 - February 12, 2007
MORGAN STANLEY DW INC.
May 7, 2001 - January 26, 2005
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
MAYFAIR CAPITAL MARKETS LLC
CRD#: 149177 / SEC#: , 8-68120
Contact information
Documents
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