Sunjay Goel
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.
Sunjay Goel was a registered financial professional .
Sunjay is a previously registered financial professional and started their career in finance in 2014. Sunjay had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2016 - March 12, 2019
SPECTRUM WEALTH MANAGEMENT
September 3, 2014 - June 9, 2016
HALTER FERGUSON FINANCIAL INC
State Registrations and Notice Filings
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Exams
Current Firm
SPECTRUM WEALTH MANAGEMENT
CRD#: 154532 / SEC#: 801-71751
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,142 |
| AUM (Assets Under Management) | $ 977,118,622 |
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.
