Erick A. Goralski
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.
Erick Andrew Goralski, who also goes by Erick A Goralski, was a registered financial professional .
Erick is a previously registered financial professional and started their career in finance in 2005. Erick had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2020 - January 19, 2022
OLD CITY SECURITIES LLC
February 8, 2018 - January 11, 2019
FORESIDE GLOBAL SERVICES, LLC
August 14, 2017 - February 2, 2018
ALPS DISTRIBUTORS, INC.
April 22, 2016 - August 14, 2017
QUASAR DISTRIBUTORS, LLC
January 18, 2013 - May 5, 2014
QUASAR DISTRIBUTORS, LLC
April 16, 2007 - August 16, 2012
DEUTSCHE BANK SECURITIES INC.
January 5, 2005 - April 19, 2007
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/13/2024
General Securities Representative ExaminationCurrent Firm
OLD CITY SECURITIES LLC
CRD#: 171910 / SEC#: , 8-69488
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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