Scott D. Goldchain
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.
Scott David Goldchain was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2005. Scott had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2021 - January 27, 2026
N.A. INVESTCORP LLC
October 17, 2013 - March 10, 2014
MUZINICH CAPITAL LLC
December 14, 2011 - August 28, 2013
ITAU BBA USA SECURITIES, INC.
October 11, 2005 - February 7, 2007
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 11/8/2021
General Securities Representative ExaminationCurrent Firm
N.A. INVESTCORP LLC
CRD#: 134162 / SEC#: , 8-66812
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTCORP INTERNATIONAL HOLDINGS, INC. | SHAREHOLDER | |
| GOLDCHAIN, SCOTT DAVID | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3276936 |
| MURPHY, BRIAN JOSEPH | SECRETARY | 1720020 |
| QASIMI, SAMI | CHIEF COMPLIANCE OFFICER | 5640450 |
| SHEA, PATRICK OFARRELL | HEAD OF INVESTMENT BANKING, FINANCIAL AND OPERATIONAL PRINCIPAL | 838154 |
Red Flags
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