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MG

Mark Goldberg

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CRD#: 835913
MG

Professional summary

Mark Goldberg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Mark had worked at 15 firms, which includes FIRST MONTAUK SECURITIES CORP., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS SECURITIES INC., JWGENESIS FINANCIAL GROUP INC, CHATFIELD DEAN & CO. INC., FIRST ASSET MANAGEMENT INC., LADENBURG THALMANN & CO. INC., INVESTORS ASSOCIATES INC., JOSEPHTHAL & CO. INC., BLINDER ROBINSON & CO. INC., ROONEY PACE INC., ROSS STEBBINS INC., FITTIN CUNNINGHAM & LAUZON INC., ADVEST INC., FIRST JERSEY SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 5, 2001 - August 12, 2003

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

January 2, 2001 - June 25, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 3, 2000 - January 2, 2001

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

January 4, 1999 - December 31, 1999

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

August 23, 1996 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

April 4, 1995 - August 26, 1996

FIRST ASSET MANAGEMENT, INC.

BD
CRD#: 17341
GARDEN CITY, NY
Past

May 21, 1991 - April 12, 1995

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

October 17, 1990 - October 18, 1990

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

October 16, 1990 - June 14, 1991

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

July 5, 1982 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

BD
CRD#: 5096
Past

February 11, 1981 - July 8, 1982

ROONEY, PACE INC.

BD
CRD#: 6218
Past

February 25, 1980 - March 2, 1981

ROSS, STEBBINS INC.

BD
CRD#: 6381
Past

May 2, 1979 - March 14, 1980

ROONEY, PACE INC.

BD
CRD#: 6218
Past

February 1, 1979 - March 11, 1986

FITTIN, CUNNINGHAM & LAUZON, INC.

BD
CRD#: 6866
Past

May 30, 1978 - February 12, 1979

ADVEST, INC.

BD
CRD#: 10
Past

May 9, 1977 - June 24, 1978

FITTIN, CUNNINGHAM & LAUZON, INC.

BD
CRD#: 6866
Past

April 1, 1977 - June 5, 1977

FIRST JERSEY SECURITIES, INC.

BD
CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/30/1984
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/28/1983
General Securities Principal Examination

Current Firm

FM
FIRST MONTAUK SECURITIES CORP.
ADVANCED INVESTMENT | WEALTH MANAGEMENT DESIGN | WASHINGTON ASSET MANAGEMENT | VENTURE WEALTH MANAGEMENT | VC MANAGEMENT | UNION ADVANTAGE FINANCIAL | THE LARAWAY FINANCIAL GROUP | THE CARDINAL HILL GROUP | SHARMA CAPITAL | SCHREIBER INVESTMENT COMPANY | ROME CAPITAL MANAGEMENT | QUIGLEY TAX ADVISORY GROUP | PHG ASSET MANAGEMENT & DEVELOPMENT | PERSONAL INVESTMENT CENTERS | MONTAUK FINANCIAL GROUP | MOFIELD & ASSOC. | MILLER AND CHRISTIAN ASSET MANAGEMENT | MFG/BOGGS,BUSTAMANTE,BELMONTE FINANCIAL GROUP | MCM CONSULTING & MANAGEMENT SERFICES | LYL INVESTMENTS | KAROON CAPITAL MANAGEMENT | INVESTMENT ASSET MANAGEMENT | HUNT ASSET MANAGEMENT | HORIZON WEALTH SOLUTIONS | HAMPTON CAPITAL MANAGEMENT | GROTJAHN CAPITAL MANAGEMENT | FORTRESS WEALTH MANAGEMENT | FIRST MONTAUK SECURITIES CORP. | EVYAVAN ADVISORY SERVICES | CENTURY DISCOUNT INVESTMENTS | CAPITAL ESTATE ADVISORS | C & B FINANCIAL SVCS. | BUSINESS AND FINANCIAL SERVICES | BURTON CAPITAL STRATEGIES GROUP | BURNS ASSET MANAGEMENT | BONIELLO CAPITAL MANAGEMENT | BERRY ASSET MANAGEMENT | BELLI MONACO | BAUGHMAN FINANCIAL GROUP | BARRETT HAYNES FINANCIAL GROUP | BARREIRO AND ASSOCIATES | B & G CAPITAL MANAGEMENT | ASSET MANAGEMENT CONSULTANT | AMERICAN CAPITAL MANAGEMENT

CRD#: 13755 / SEC#: , 8-29748

BD
Terminated by SEC on 02/21/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/11/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST MONTAUK FINANCIAL CORP.CORPORATE PARENT AND SOLE STOCKHOLDER
HOROWITZ, MINDY ANNCHIEF FINANCIAL OFFICER/FINOP3036744
KURYLAK, VICTOR KEVINPRESIDENT, CHIEF EXECUTIVE OFFICER1664534
LEONARD, CELESTE MARIECHIEF COMPLIANCE OFFICER1258535

Disclosures

Regulatory Event25
Arbitration28
Bond5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

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