Barry I. Goldstein
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.
Barry I Goldstein was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 2002. Barry had worked at 6 firms and has passed the Series 66, 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
July 8, 2020 - June 9, 2021
TLG ADVISORS, INC.
July 8, 2020 - June 9, 2021
THE LEADERS GROUP, INC.
May 20, 2010 - December 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
May 3, 2010 - December 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
February 17, 2005 - April 29, 2010
AFA ADVISOR SERVICES LLC
October 3, 2003 - April 29, 2010
AFA FINANCIAL GROUP, LLC
February 21, 2002 - October 3, 2003
SENTRA SECURITIES CORPORATION
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
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.
