Richard M. Goldman
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.
Richard Mark Goldman, who also goes by Richard Goldman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 6 firms and has passed the SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2018 - December 31, 2018
FORESIDE FUND SERVICES, LLC
March 16, 2015 - August 1, 2016
FORESIDE FUND SERVICES, LLC
September 30, 2014 - April 17, 2015
FORESIDE GLOBAL SERVICES, LLC
March 7, 2014 - October 1, 2014
FORESIDE FUND SERVICES, LLC
May 8, 2009 - May 7, 2012
GUGGENHEIM DISTRIBUTORS, LLC
March 23, 2007 - November 11, 2009
SECURITY DISTRIBUTORS
September 8, 2003 - October 24, 2005
REFCO SECURITIES, LLC
July 30, 2002 - April 15, 2003
DEAM INVESTOR SERVICES, 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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
