Mariano H. Goldsztein
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.
Mariano Hernan Goldsztein was a registered financial professional .
Mariano is a previously registered financial professional and started their career in finance in 2001. Mariano had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2017 - October 10, 2019
HOLISTIC BROKERAGE, LLC
June 21, 2002 - November 5, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 16, 2001 - April 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
HOLISTIC BROKERAGE, LLC
CRD#: 46001 / SEC#: , 8-51285
Contact information
FINRA licenses (21 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
