Scott D. Goldchain
Professional summary
Scott David Goldchain is a registered financial professional currently at N.A. INVESTCORP LLC located in Santa Monica, California.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2005. Scott has 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) - BD
Click below to view Scott David Goldchain's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 8, 2021 - Present
N.A. INVESTCORP LLC
Office #1: 100 Wilshire Blvd. Suite 700, Santa Monica, CA 90401October 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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/15/2021)
(11/15/2021)
(11/15/2021)
(11/15/2021)
(11/15/2021)
(11/16/2021)
(11/15/2021)
Exams
Series 7TO
Date: 11/8/2021
General Securities Representative ExaminationFINRA
Current 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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