Richard L. Goldner
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 Lee Goldner, who also goes by Richard L Goldner, Richard Goldner, Rick Goldner, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2011. Richard had worked at 5 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
October 29, 2013 - October 1, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
October 29, 2013 - October 1, 2014
ALLSTATE FINANCIAL SERVICES, LLC
May 29, 2013 - July 26, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
September 10, 2012 - May 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 2012 - May 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2011 - August 8, 2012
MORGAN STANLEY
September 30, 2011 - August 8, 2012
MORGAN STANLEY
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
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