Marc Goldman
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.
Marc Goldman was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1978. Marc had worked at 11 firms and has passed the Series 63, Series 7, Series 3 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
February 8, 2002 - May 8, 2002
LH ROSS & COMPANY, INC.
January 31, 2001 - December 17, 2001
LH ROSS & COMPANY, INC.
June 10, 1998 - January 25, 1999
MERIT CAPITAL ASSOCIATES, INC.
April 8, 1998 - May 29, 1998
ARGENT SECURITIES, INC.
February 24, 1998 - March 12, 1998
JOSEPH CHARLES & ASSOC., INC.
August 22, 1989 - July 19, 1990
DOMINICK & DICKERMAN LLC
November 18, 1987 - July 5, 1989
CITIGROUP GLOBAL MARKETS INC.
June 9, 1983 - October 5, 1987
CIBC WORLD MARKETS CORP.
March 2, 1981 - June 8, 1983
E. F. HUTTON & COMPANY INC
April 9, 1980 - March 27, 1981
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1979 - April 13, 1980
MORGAN STANLEY DW INC.
September 14, 1978 - January 21, 1979
HALPERT AND COMPANY, INC.
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: 9/22/1978
Registered Representative ExaminationCurrent Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
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.
