Unclaimed
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 a registered representative with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Erma has been in the financial services industry since 1984. Erma previously worked at WELLS FARGO INVESTMENTS, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., PRUDENTIAL SECURITIES INCORPORATED, YOUNG, SMITH & PEACOCK, INC., PRUDENTIAL-BACHE SECURITIES INC., SHEARSON/AMERICAN EXPRESS INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Erma holds the following licenses: Series 3, Series 7, Series 9, Series 10, Series 23, Series 24, Series 63, Series 65, and Series 66. Erma specializes in portfolio management for businesses and individuals, pension consulting, and educational seminars. Erma provides advisory services for insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
SCOTTSDALE, AZ
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 9/12/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 6/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 24 - General Securities Principal Examination
BC
Issued 3/1/2004
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 8/28/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/28/1993
Series 3 - National Commodity Futures Examination
BC
Issued 3/19/1983
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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