Ben Goldstein
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.
Ben Goldstein was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 1999. Ben had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2011 - December 31, 2019
MISCHLER FINANCIAL GROUP, INC.
December 5, 2005 - November 3, 2011
VINING-SPARKS IBG, LLC
April 23, 2004 - June 14, 2005
BASSI INVESTMENTS,INC.
July 13, 2000 - December 6, 2001
SCHONFELD SECURITIES, LLC
November 5, 1999 - July 6, 2000
MORGAN STANLEY DW 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
Exams
Series 55
Date: 12/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (50 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
