Soll GoldenthalCRD Number: 1134431
Current Firm: Stifel, Nicolaus & Company, Incorporated
Soll Goldenthal (CRD# 1134431) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in New London, CT and has over 33 years of experience in the finance industry.
Lansdowne Wealth Management, LLC
First Financial Advisory Services Inc.
Sagepoint Financial, Inc.
|Stifel Nicolaus & Co Inc.||Avon, CT||Nov 2005 - Current||12|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1984|
|S65||NASAA Investment Advisors Law Examination||Sep 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management38,401MILLIONS
Total Number of Accounts115,441ACCOUNTS
Average Account Value$332,650
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV