Thomas Goelz
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.
Thomas Goelz was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 5 firms and has passed the SIE, Series 55, 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
February 27, 2003 - December 8, 2015
FIRST NEW YORK SECURITIES L.L.C.
November 1, 2001 - February 18, 2003
LADENBURG THALMANN & CO. INC.
December 9, 1998 - October 31, 2001
FIRST NEW YORK SECURITIES L.L.C.
March 17, 1998 - December 8, 1998
LOEB PARTNERS CORPORATION
November 15, 1996 - February 12, 1998
BEACH SECURITIES CORPORATION
October 28, 1980 - October 18, 1996
LADENBURG THALMANN & CO. INC.
October 24, 1979 - November 22, 1980
LEHMAN BROTHERS KUHN LOEB 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 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
