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Mark David Goldfarb

Goldfarb Financial Management, LLC

Studio City, CA

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Current Employers
Goldfarb Financial Management, Llc

Studio City, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-04-20
  • CA RA
    APPROVED
    Since 2020-04-20

Branch Locations

Studio City, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Beverly Hills CA 06/2009 07/2019
Morgan Stanley Private Bank, National Association New York NY 01/2015 07/2019
  • 06/2009 → 07/2019
    Morgan Stanley Smith Barney
    Beverly Hills, CA
  • 01/2015 → 07/2019
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
  • 2009-06-01 → 2019-07-02
    Morgan Stanley
    Beverly Hills, CA
    Beverly Hills, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Beverly Hills, CA
  • 2001-01-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    Beverly Hls, CA
    Beverly Hills, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-17
S63 Uniform Securities Agent State Law Examination 1991-02-05
  • S65 Uniform Investment Adviser Law Examination
    2000-12-17
  • S63 Uniform Securities Agent State Law Examination
    1991-02-05

View on SEC IAPD

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