Richard S. 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.
Richard Stuart Goldberg was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, 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
April 29, 2020 - December 21, 2022
MANNING & NAPIER INVESTOR SERVICES, INC.
February 27, 2009 - April 3, 2018
NEEDHAM & COMPANY, LLC
July 6, 2006 - January 26, 2009
NATIONAL BANK OF CANADA FINANCIAL INC.
October 1, 2004 - July 7, 2006
SANDLER, O'NEILL & PARTNERS, L.P.
April 22, 1993 - July 6, 2004
DRESDNER KLEINWORT WASSERSTEIN, LLC
July 31, 1992 - March 30, 1993
BFM ADVISORY, L.P.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
MANNING & NAPIER INVESTOR SERVICES, INC.
CRD#: 26266 / SEC#: , 8-42468
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANNING & NAPIER GROUP, LLC | OWNER | |
| CRAIG, ELIZABETH KIM | DIRECTOR | 5726029 |
| CRAIG, ELIZABETH KIM | CORPORATE SECRETARY | 5726029 |
| LAREW, SAMANTHA MARIE | CHIEF COMPLIANCE OFFICER | 4928353 |
| LINDENMUTH, VALERIE MAY | DIRECTOR | 4572179 |
| MORABITO, SCOTT JAMES | PRESIDENT/ DIRECTOR | 6838712 |
| MORABITO, SCOTT JAMES | PRINCIPAL OPERATIONS OFFICER | 6838712 |
| SERRA, CARL ANTHONY III | PRINCIPAL FINANCIAL OFFICER | 3179039 |
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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