Leroy W. Goldfarb
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.
Leroy Wilson Goldfarb, who also goes by Leroy Norman Goldfarb, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1962. Leroy had worked at 13 firms and has passed the Series 63 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 1995 - January 22, 2002
HERMITAGE CAPITAL CORPORATION
June 3, 1988 - November 16, 1995
LADENBURG THALMANN & CO. INC.
May 6, 1985 - May 25, 1988
LEHMAN BROTHERS INC.
November 1, 1978 - May 8, 1985
ROTAN MOSLE INC.
January 19, 1977 - May 23, 1980
RAUSCHER PIERCE REFSNES, INC.
August 12, 1976 - December 12, 1976
MULLER AND COMPANY, INC.
September 12, 1975 - August 12, 1976
BERNARD HEROLD & COMPANY INC
July 14, 1975 - April 21, 1976
THE ROBINSON-HUMPHREY COMPANY, LLC
April 15, 1975 - August 21, 1975
JOHN H. KAPLAN & CO.
April 18, 1974 - February 16, 1975
DOMIK CORP.
June 29, 1972 - May 10, 1973
HARTZMARK & CO
February 1, 1971 - July 15, 1972
HAYDEN STONE INC.
September 12, 1962 - January 21, 1971
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
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
PC
Date: 7/8/1988
AMEX Put and Call ExamCurrent Firm
HERMITAGE CAPITAL CORPORATION
CRD#: 20509 / SEC#: , 8-38299
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
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.
