Goli Atarod-o'connell
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.
Goli Atarod-o'connell, who also goes by Goli Nia Atarod-o'connell, Goli Nia Atarodoconnell, Goli Nia Golrokh, was a registered financial professional .
Goli is a previously registered financial professional and started their career in finance in 1999. Goli had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2022 - November 1, 2022
J. ALDEN ASSOCIATES, INC.
September 14, 2020 - January 25, 2022
NATIONAL SECURITIES CORPORATION
May 9, 2007 - September 24, 2020
FSIC
November 22, 2002 - May 11, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 21, 2002 - November 15, 2002
1ST DISCOUNT BROKERAGE, INC.
December 10, 1999 - August 21, 2002
ACUMENT SECURITIES, 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
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
