David L. 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.
David Lester Goldberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1981. David had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2005 - December 31, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
August 1, 2003 - July 12, 2005
WALNUT STREET SECURITIES, INC.
May 10, 1999 - January 28, 2003
NATHAN & LEWIS SECURITIES, INC.
May 10, 1999 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
January 2, 1992 - May 12, 1999
GRUNTAL & CO., L.L.C.
August 27, 1987 - January 2, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 3, 1981 - September 22, 1987
E. F. HUTTON & COMPANY INC
May 18, 1981 - September 11, 1981
LEHMAN BROTHERS 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 15
Date: 3/24/1988
Foreign Currency Options ExaminationSeries 5
Date: 12/17/1982
Interest Rate Options ExaminationCurrent Firm
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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