Scott B. Goldberg
Professional summary
Scott B Goldberg, CIMA®, who also goes by Scott B Goldberg, Scott Brooks Goldberg, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Newport Beach, California.
Scott is registered as a RR (Registered Representative) and started their career in finance in 2003. Scott has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott B Goldberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2023 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 840 Newport Center Drive Suite 700, Newport Beach, CA 92660January 2, 2022 - April 14, 2023
PACIFIC SELECT DISTRIBUTORS, LLC
January 4, 2019 - December 22, 2021
FORESIDE FUND SERVICES, LLC
May 3, 2018 - December 27, 2018
ALPS DISTRIBUTORS, INC.
June 13, 2013 - June 1, 2017
VIRTUS CAPITAL ADVISERS, LLC
May 22, 2013 - June 1, 2017
FORESIDE ASSOCIATES, LLC
December 3, 2012 - May 22, 2013
HARTFORD FUNDS DISTRIBUTORS, LLC
September 13, 2011 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
April 29, 2011 - September 6, 2011
GLOBAL ATLANTIC DISTRIBUTORS, LLC
January 24, 2011 - April 4, 2011
ALPHA CAPITAL MANAGEMENT, LLC
January 24, 2011 - April 4, 2011
ALPHA CAPITAL FUNDS MANAGEMENT
May 30, 2008 - April 29, 2011
OLD MUTUAL CAPITAL
March 7, 2007 - September 21, 2010
OLD MUTUAL INVESTMENT PARTNERS
August 15, 2003 - February 5, 2007
TRUIST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/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 |
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.
