Stephen M. Golding
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.
Stephen Michael Golding, who also goes by Steve Golding, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 12 firms and has passed the Series 63, 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
September 22, 1998 - October 3, 2008
VINING-SPARKS IBG, LLC
July 28, 1997 - May 22, 1998
REFCO SECURITIES, LLC
April 24, 1997 - July 14, 1997
BERSEC INTERNATIONAL CORPORATION
January 2, 1997 - February 20, 1997
INTERCREDIT CAPITAL MARKETS, INC.
April 11, 1996 - November 11, 1996
BERSEC INTERNATIONAL CORPORATION
April 24, 1995 - January 2, 1996
ABN AMRO INCORPORATED
March 1, 1990 - June 21, 1994
MORGAN STANLEY DW INC.
October 30, 1989 - March 10, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1989 - November 8, 1989
KIDDER, PEABODY & CO. INCORPORATED
February 5, 1988 - July 7, 1989
LEHMAN BROTHERS INC.
November 6, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 12, 1979 - January 19, 1988
UBS FINANCIAL SERVICES INC.
September 26, 1978 - November 12, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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