Seth Craig Goldman

CRD 2146223 · J.P. Morgan Securities LLC · New York, NY

IA RegisteredBroker

Also appears in the source record as: Seth Craid Goldman; Seth Goldman

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 31Series 7Series 65Series 63
Registered states (36): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Missouri · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (11)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
New York, NY · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
New York, NY · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
New York, NY · IA capacity

May 29, 2007 → May 27, 2009
Citigroup Global Markets Inc.
New York, NY · BC capacity

May 29, 2007 → May 27, 2009
Citicorp Investment Services
New York, NY · IA capacity

Nov 12, 2004 → May 29, 2007
Citicorp Investment Services
New York, NY · BC capacity

Dec 3, 2002 → May 29, 2007
Wachovia Securities, Inc.
Old Greenwich, CT · IA capacity

Nov 19, 1999 → Dec 2, 2002
Wachovia Securities, Inc.
St. Louis, MO · BC capacity

Oct 1, 1999 → Dec 2, 2002
First Union Capital Markets Corp.
Charlotte, NC · BC capacity

Oct 2, 1998 → Oct 1, 1999
Gruntal & Co., L.L.C.
New York, NY · BC capacity

Nov 1, 1994 → Oct 30, 1998
Painewebber Incorporated
Weehawken, NJ · BC capacity

Aug 14, 1992 → Nov 9, 1994

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2146223 ↗ FINRA BrokerCheck record for CRD 2146223 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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