Scott A. Goffstein
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.
Scott Alan Goffstein was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2004. Scott had worked at 2 firms and has passed the Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2019 - January 18, 2023
NOBLE CAPITAL MARKETS, INC.
June 4, 2015 - September 24, 2019
NOBLE CAPITAL MARKETS, INC.
April 29, 2004 - May 27, 2015
JSB PARTNERS, LP
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 10/3/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
Red Flags
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