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Seth Goldberg

Buckler Securities LLC

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About Seth Goldberg

Seth Goldberg is a financial professional with over 30 years of experience in the industry. Seth currently works as a registered representative at Buckler Securities LLC, where he has been employed since January 2024. Seth's previous roles include positions at NATWEST MARKETS SECURITIES INC., SCOTIA CAPITAL (USA) INC., TD SECURITIES (USA) LLC, UBS SECURITIES LLC, SBC WARBURG, INC., and SMITH BARNEY SHEARSON INC. Seth holds the Series 7, Series 63, and SIE licenses. Seth is licensed in Arizona, California, Connecticut, Delaware, Florida, Illinois, Maryland, Massachusetts, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Texas, and Wisconsin.

Firm Information

Seth Goldberg is currently registered with Buckler Securities LLC. Buckler Securities LLC is a Limited Liability Company formed on April 28, 2016. The firm is registered in 15 states and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

17

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Seth Goldberg’s Registration & Firm History

CT

01/17/2024 - Present

Buckler Securities LLC (Greenwich CT)

CT

04/01/2022 - 01/17/2024

NATWEST MARKETS SECURITIES INC. (STAMFORD CT)

NY

02/13/2017 - 11/09/2020

SCOTIA CAPITAL (USA) INC. (NEW YORK NY)

NY

06/16/2009 - 10/13/2016

TD SECURITIES (USA) LLC (NEW YORK NY)

CT

07/14/1997 - 05/04/2009

UBS SECURITIES LLC (STAMFORD CT)

NY

05/16/1994 - 07/23/1997

SBC WARBURG, INC. (NEW YORK NY)

NY

10/25/1989 - 05/20/1994

SMITH BARNEY SHEARSON INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/19/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/14/2022

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/21/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Seth Goldberg.
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