Kelsey W. 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.
Kelsey White Goldman, who also goes by Kelsey Kay Goldman, Kelsey W Goldman, Kelsey Goldman, Kelsey Kay White, was a registered financial professional .
Kelsey is a previously registered financial professional and started their career in finance in 2015. Kelsey had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2019 - September 2, 2021
NTB FINANCIAL CORPORATION
July 6, 2018 - June 4, 2019
J.P. MORGAN SECURITIES LLC
July 6, 2018 - June 4, 2019
J.P. MORGAN SECURITIES LLC
October 6, 2017 - June 29, 2018
TD AMERITRADE, INC.
October 5, 2017 - June 29, 2018
TD AMERITRADE CLEARING, INC.
February 14, 2017 - September 13, 2017
STRATEGIC ADVISERS LLC
April 1, 2016 - September 12, 2017
FIDELITY BROKERAGE SERVICES LLC
March 26, 2015 - March 14, 2016
NTB FINANCIAL CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
