Sherwood T. 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.
Sherwood Terry Goldman, who also goes by Woody Goldman, was a registered financial professional .
Sherwood is a previously registered financial professional and started their career in finance in 2003. Sherwood had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2022 - January 2, 2024
LION STREET FINANCIAL, LLC
December 1, 2014 - September 13, 2022
EQUITY SERVICES, INC.
August 19, 2011 - October 20, 2014
EQUITABLE ADVISORS, LLC
May 13, 2010 - April 5, 2011
SUMMIT BROKERAGE SERVICES, INC.
March 31, 2003 - July 12, 2010
LPL FINANCIAL 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
Exams
Current Firm
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
