Michael A. Goldberg
Professional summary
Michael Alan Goldberg, who also goes by Michael A Goldberg, is a registered financial professional currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Alan Goldberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2017 - Present
BUCKLER SECURITIES LLC
Office #1: 5 Greenwich Office Park, Suite 350, Greenwich, CT 06831July 23, 2002 - May 23, 2005
CREDIT SUISSE SECURITIES (USA) LLC
September 24, 2001 - November 21, 2001
ADIRONDACK ELECTRONIC MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/13/2022)
(2/15/2018)
(2/15/2018)
(7/13/2022)
(8/7/2017)
(7/13/2022)
(2/15/2018)
(2/15/2018)
(11/5/2024)
(2/15/2018)
(2/15/2018)
(7/13/2022)
(2/15/2018)
(7/13/2022)
(2/15/2018)
(7/13/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 9/12/2022
Securities Trader ExamFINRA
Current Firm
BUCKLER SECURITIES LLC
CRD#: 284576 / SEC#: , 8-69807
Contact information
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARMOUR CAPITAL MANAGEMENT LP | SHAREHOLDER | 164570 |
| ARMOUR TRS INC | SHAREHOLDER | |
| CONIGLIARIO, THOMAS JOSEPH | CHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER | 1366831 |
| ESANNASON, CARLO YVAN | CCO | 4869110 |
| HARPER, GORDON MACKAY | CHIEF FINANCIAL OFFICER | 6632019 |
| JOSHI, JAI PAUL | CHIEF RISK OFFICER | 2263070 |
| KOKKO, LASSE ARTTURI | PRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP | 6976957 |
| MISIANO, RICHARD JOHN | CHIEF EXECUTIVE OFFICER | 2339879 |
| ULM, SCOTT JEFFREY | PRINCIPAL | 1575205 |
Red Flags
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