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JAY ALAN GOLDBERG
JAYBO GOLDBERG
CRD#: 1434918
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 90 WOODBRIDGE CENTER DRIVE
7TH FLOOR
WOODBRIDGE, NJ 07095
7TH FLOOR
WOODBRIDGE, NJ 07095
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12/22/2020
Customer Dispute
Denied
11/27/2017
Customer Dispute
Denied
State Registrations
B
California 6/5/2008
B
North Carolina 9/29/2005
B
Connecticut 7/11/2001
IA
North Carolina 8/11/2009
IA
Connecticut 6/14/2010
B
Pennsylvania 1/6/2003
B
Florida 5/24/2006
IA
Pennsylvania 10/31/2018
IA
Florida 9/1/2010
B
Texas 1/12/2012
B
Nevada 2/1/2024
IA
Texas 4/28/2020
B
New Jersey 7/9/1996
B
Utah 2/20/2002
IA
New Jersey 7/30/2002
IA
Utah 7/15/2013
B
New York 8/21/1997
B
Virginia 8/7/2017
IA
New York 5/18/2021
IA
Virginia 8/9/2017
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/30/2002
B
Registered with this firm since 6/21/1996
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/21/1996 - 01/05/2000 | NEW YORK, NY | |
B | 05/09/1995 - 06/10/1996 | BROOKLYN, NY | |
B | 08/02/1994 - 05/11/1995 | NEW YORK, NY | |
B | 04/14/1986 - 07/25/1994 | NEW YORK, NY | |
B | 04/14/1986 - 07/25/1994 | NEW YORK, NY |
NEW YORK, NY
06/21/1996 - 01/05/2000
NEW YORK, NY
04/14/1986 - 07/25/1994
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.