Peter O. 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.
Peter Oliver Goldman was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1999. Peter had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 21, 2017 - March 9, 2018
SCOTTRADE, INC.
April 16, 2014 - September 4, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
April 16, 2014 - September 4, 2014
ALLSTATE FINANCIAL SERVICES, LLC
November 7, 2011 - March 31, 2014
TD AMERITRADE, INC.
September 7, 2011 - March 31, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 2, 2011 - March 31, 2014
TD AMERITRADE, INC.
September 8, 2010 - August 30, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2010 - August 30, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2008 - December 22, 2009
SECURIAN FINANCIAL SERVICES, INC.
September 17, 2008 - December 22, 2009
SECURIAN FINANCIAL SERVICES, INC.
December 12, 2007 - September 9, 2008
TRUIST INVESTMENT SERVICES, INC.
December 12, 2007 - September 9, 2008
TRUIST INVESTMENT SERVICES, INC.
October 27, 2003 - November 29, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 27, 2003 - November 29, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 18, 2003 - September 26, 2003
TRUIST INVESTMENT SERVICES, INC.
March 17, 2003 - September 26, 2003
TRUIST INVESTMENT SERVICES, INC.
March 26, 2001 - March 13, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
May 20, 1999 - February 28, 2001
ANDERSON & STRUDWICK, INCORPORATED
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
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
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.
