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GERALD CARL GOLDMANN
GARY GOLDMAN, GERALD CARL GOLDMAN, GARY GOLDMANN
CRD#: 1672992
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1200 PROSPECT STREET
Suite 100
LA JOLLA, CA 92037
Registration History
199019952000200520102015202020252 FIRMS1999 - 2003 (3 years)2 FIRMS2003 - 2008 (5 years)2 FIRMS2008 - Present (16 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 1999 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1993 (4 years)BJ. T. MORAN & CO., INC. (CRD# 15655)1988 - 1989 (1 year)BSHERWOOD CAPITAL, INC. (CRD# 10474)1987 - 1988 (<1 year)
License(s)

State Registrations

B
Arizona 10/30/2008

B
Massachusetts 10/30/2008

B
California 10/30/2008

B
Nevada 10/30/2008

IA
California 10/31/2008

B
Oklahoma 10/30/2008

B
Colorado 10/30/2008

B
Oregon 10/30/2008

B
Florida 10/30/2008

B
Tennessee 8/19/2021

B
Georgia 3/22/2024

B
Texas 10/30/2008

B
Idaho 9/9/2014

IA
Texas 10/30/2008

B
Iowa 2/23/2016

B
Virginia 9/17/2010

B
Kentucky 10/30/2008

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1200 PROSPECT STREET Suite 100, LA JOLLA, CA 92037
SAN DIEGO, CA
Registered with this firm since 10/30/2008

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1200 PROSPECT STREET Suite 100, LA JOLLA, CA 92037
SAN DIEGO, CA
Registered with this firm since 10/30/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2003 - 10/31/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) LA JOLLA, CA
B
07/01/2003 - 10/31/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) LA JOLLA, CA
IA
08/24/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) LA JOLLA, CA
B
08/23/1999 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/31/1993 - 09/01/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
07/17/1989 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
05/20/1988 - 07/20/1989 J. T. MORAN & CO., INC. (CRD#:15655)
B
08/07/1987 - 05/23/1988 SHERWOOD CAPITAL, INC. (CRD#:10474)
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B
Broker
IA
Investment Adviser
Disclosures
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.