Steven E. 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.
Steven Eugene Goldberg was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1977. Steven had worked at 19 firms and has passed the Series 63, Series 3, Series 7, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2012 - July 19, 2012
GRADIENT SECURITIES, LLC
May 18, 2009 - May 18, 2010
WOODSTOCK FINANCIAL GROUP, INC.
October 16, 2006 - June 4, 2007
PARTNERVEST SECURITIES, INC.
October 15, 2003 - September 22, 2006
BROOKSTREET SECURITIES CORPORATION
November 7, 2002 - October 22, 2003
AURA FINANCIAL SERVICES, INC.
September 6, 2001 - August 22, 2002
LEGACY FINANCIAL SERVICES, INC.
May 29, 1998 - December 31, 1999
LEGACY FINANCIAL SERVICES, INC.
February 27, 1991 - March 28, 1997
NYLIFE SECURITIES LLC
August 14, 1990 - October 12, 1990
WORLD INVEST CORPORATION
March 22, 1990 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
July 12, 1988 - August 2, 1989
M.G.S.I. SECURITIES, INC.
August 25, 1986 - February 2, 1988
UBS FINANCIAL SERVICES INC.
January 28, 1986 - October 21, 1986
FIRST STATEWIDE SECURITIES, INC.
January 24, 1985 - December 24, 1985
UMIC, INC.
August 2, 1983 - December 12, 1984
UBS FINANCIAL SERVICES INC.
February 24, 1983 - July 11, 1983
WESTERN PACIFIC SECURITIES, INC.
December 2, 1980 - February 4, 1983
LEHMAN BROTHERS INC.
January 25, 1980 - December 17, 1980
PRUDENTIAL EQUITY GROUP, LLC
August 14, 1978 - January 31, 1980
MUNICICORP OF CALIFORNIA
May 3, 1978 - August 23, 1978
CALIFORNIA MUNICIPAL INVESTORS, INC.
April 5, 1977 - May 21, 1978
G. WEEKS & CO., INC.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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 1
Date: 5/27/1977
Registered Representative ExaminationCurrent Firm
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
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.
