Brett A. Goldman
Professional summary
Brett Alan Goldman is a registered financial professional currently at MARCH CAPITAL CORP. located in Skokie, Illinois.
Brett is registered as a RR (Registered Representative) and started their career in finance in 2007. Brett has worked at 5 firms and has passed the Series 63, Series 62, Series 82TO, Series 52TO, Series 22TO, Series 99TO, Series 79TO, Series 42, Series 6TO, Series 72, SIE, Series 7, Series 26, Series 39 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brett Alan Goldman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2017 - Present
MARCH CAPITAL CORP.
July 15, 2014 - August 3, 2017
MANOR PARK SECURITIES LLC
August 9, 2010 - July 7, 2014
BRIDGE CAPITAL ASSOCIATES, INC.
May 6, 2009 - August 9, 2010
MID-MARKET SECURITIES, LLC
November 8, 2007 - April 20, 2009
ANKURA CAPITAL ADVISORS, 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
(4/11/2024)
(11/13/2017)
(11/13/2017)
(11/13/2017)
(11/13/2017)
(11/13/2017)
Exams
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
MARCH CAPITAL CORP.
CRD#: 24142 / SEC#: , 8-41173
Contact information
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
Red Flags
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