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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erma? Claim Your ProfileErma Goldberg is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Erma has been in the financial services industry since 1984. Erma has a wide range of experience working with clients, including high-net-worth individuals, corporations, and institutions. Erma is licensed to provide investment advice in Arizona and California. Erma holds the following licenses: Series 7, Series 10, Series 23, Series 24, Series 3, Series 63, Series 65, Series 66 and SIE. Erma has worked with several financial firms in the past, including Wells Fargo Investments, LLC, Banc of America Investment Services, Inc., Prudential Securities Incorporated, Young, Smith & Peacock, Inc., Prudential-Bache Securities Inc., and Shearson/American Express Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
03/11/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
06/30/2009 - 10/20/2010
WELLS FARGO INVESTMENTS, LLC (SCOTTSDALE AZ)
AZ
07/28/2003 - 03/11/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PHOENIX AZ)
NY
05/02/1988 - 02/03/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
11/06/1987 - 04/26/1988
YOUNG, SMITH & PEACOCK, INC.
NA
04/16/1984 - 10/12/1987
PRUDENTIAL-BACHE SECURITIES INC.
NA
03/23/1984 - 04/04/1984
SHEARSON/AMERICAN EXPRESS INC.
NA
03/22/1983 - 12/16/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 09/12/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 03/01/2004
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 08/28/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1993
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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