Wilford R. 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.
Wilford Robert Goldman JR, who also goes by Bob Goldman, was a registered financial professional .
Wilford is a previously registered financial professional and started their career in finance in 1975. Wilford had worked at 7 firms and has passed the Series 7, Series 40 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 1977 - September 16, 2011
FINANCIAL RESEARCH COMPANY
September 16, 1977 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1977 - November 12, 1977
M. H. DECKARD & CO., INC.
September 27, 1976 - January 10, 1977
DEAN WITTER & CO. INCORPORATED
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
August 21, 1975 - February 27, 1976
BACHE & 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
Series 40
Date: 12/15/1978
Registered Principal ExaminationCurrent Firm
FINANCIAL RESEARCH COMPANY
CRD#: 7163 / SEC#: , 8-20018
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN, WILFORD ROBERT JR | PRESIDENT,CHIEF COMPLIANCE OFFICER | 811380 |
Disclosures
| Regulatory Event | 2 |
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.
