Jonathan Goldberg
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.
Jonathan Goldberg was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 2004. Jonathan had worked at 5 firms and has passed the Series 63, 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
June 2, 2014 - July 6, 2015
CABOT LODGE SECURITIES LLC
March 27, 2012 - June 7, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
June 12, 2009 - May 7, 2010
WAVELAND CAPITAL PARTNERS LLC
May 24, 2005 - January 23, 2009
GUNNALLEN FINANCIAL, INC
August 12, 2004 - April 8, 2005
ADVANCED EQUITIES, 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
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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