Introduction: Who is Yana Goldman?
Trust is the cornerstone of the financial industry. When we hand over our money to financial professionals, we expect transparency, honesty, and expertise. However, sometimes stories emerge that challenge our assumptions. One such story is that of Yana Goldman — a name you may come across while researching brokers on FINRA’s BrokerCheck.
At first glance, her professional background seems fairly typical: affiliations with well-known companies like MetLife and Mutual of Omaha, a couple of licenses, and several years of experience in the investment sector. But a closer look uncovers some red flags that warrant further scrutiny.
This isn’t just the story of one financial professional; it serves as a reminder for us all to carefully consider who we trust with our money. Let’s delve into Yana Goldman’s career, the lessons we can learn, and what her story means for all of us.
Behind the Scenes: A Look at Yana Goldman’s Career
When people think of Yana Goldman, they often recall her past as a broker. She was registered with FINRA (Financial Industry Regulatory Authority) from 2008 to 2011, working with two firms: MetLife Securities and Mutual of Omaha Investor Services.
Her tenure at each firm was brief — just over two years at MetLife and less than a year at Mutual of Omaha. Job changes aren’t unusual, but in the finance world, frequent moves can sometimes signal deeper issues, especially when viewed alongside other factors.
Quick Career Overview:
- MetLife Securities (2008–2010) — Glendale, CA
- Mutual of Omaha (2010–2011) — Los Angeles, CA
- Passed Series 6 & Series 63 exams
- No longer registered with FINRA
When someone exits the industry without further licenses or career advancement, it naturally raises questions. What caused her to leave the industry after just a few years?
The Past That Still Haunts: Disclosure Details
This is where Yana Goldman‘s story takes a darker turn. Her BrokerCheck profile includes a criminal disclosure — not a minor infraction, but a theft conviction dating back to 1996.
While the conviction is old, in finance, past actions carry weight. According to her profile, she was convicted of misdemeanor theft of personal property in Los Angeles, pled guilty, was sentenced to 24 months of probation, and served one day in jail. Although Goldman disputes the record, claiming that regulators are still reviewing the case, the conviction remains part of her public record.
This criminal history is a significant detail in an otherwise unremarkable profile. In an industry built on trust, even an old conviction casts a long shadow.
The Importance of Trust: Hard to Earn, Easy to Lose
Mistakes are part of life. But when you’re entrusted with other people’s money, those mistakes are magnified. Yana Goldman’s story isn’t just about a past mistake; it’s about how that mistake continues to shape her career.
Her dispute over the record suggests that there’s more to the story. Maybe she was young and has since taken responsibility. But no matter the circumstances, the record stands. And for potential clients or employers, it’s difficult to overlook.
This raises an important question: how much of our past should define us? In finance, the answer is often — a great deal.
What the Exams Say: Qualified, But Not Much More
Yana passed two key exams during her career:
- Series 6: This allows the sale of mutual funds, variable annuities, and insurance products.
- Series 63: This state-specific exam permits the sale of securities in individual states.
However, she never advanced further. There were no supervisory exams, no additional certifications, and no ongoing registrations. This is unusual for someone who spent several years in the industry.
Certification Overview:
| Exam Type | Passed? | Date |
| Series 6 (Investment Co.) | ✅ | Dec 2007 |
| Series 63 (State Law) | ✅ | Jan 2008 |
| Principal Exams | ❌ | N/A |
For someone aiming for long-term success in finance, you’d expect more progression. Instead, her professional growth stagnated.
Cultural Lessons: Why Yana’s Story Feels Familiar
Yana Goldman’s path isn’t unique — and that’s perhaps the most troubling part. Many enter the finance industry without the full preparation needed for long-term success and trust-building. It’s a high-pressure environment where commissions, quotas, and success often come at a cost. The temptation to cut corners is real.
Her story mirrors that of many other professionals who faced setbacks early in their careers, whether due to criminal convictions, customer complaints, or poor judgment. A single red flag can ruin a career, and in some cases, it can follow someone for decades.
Her journey also raises an important ethical question: should people with past records be given the chance to rebuild trust, and if so, how can we measure that trust? These are tough questions, particularly when people’s financial well-being is at risk.
The Human Side: A Story of Redemption and Risk
Let’s step back and look at this from a human perspective. Imagine being Yana Goldman. You make a mistake in your youth, face the legal consequences, and attempt to move forward with your life. You enter finance — an industry built on trust and responsibility.
Then, each time your name is Googled, that old mistake reappears. It doesn’t go away. It’s like a shadow following you wherever you go. It may feel unfair. But is it?
As clients, we want to feel secure. We want to trust the person managing our money. While we may empathize with Yana’s past, the risk still exists.
What We Can Learn: Red Flags and Due Diligence
Yana Goldman’s story offers valuable lessons on how we choose those we trust with our finances. Before hiring any financial professional, take the time to:
- Use BrokerCheck: It’s free, easy, and offers detailed information.
- Check for disclosures: Look for criminal, regulatory, or civil issues.
- Review their exam history: Have they continued to grow professionally?
- Ask questions: If something seems off, don’t hesitate to ask.
Broker Hiring Checklist:
- Is the broker currently registered with FINRA?
- Do they have any disclosures on their record?
- How long have they been with their current firm?
- Have they earned additional certifications or qualifications?
- What do public records or online reviews say?
Yana Goldman’s case may seem extreme, but there are plenty of “clean” brokers with questionable ethics. Research is key to protecting yourself.
Final Thoughts: More Than Just One Story
In closing, this isn’t about tarnishing Yana Goldman’s name. It’s about taking a deeper look at the full story. Her profile is more than a simple resume — it’s a testament to ambition, mistakes, and the long-lasting consequences of past decisions.
Whether you’re searching for a financial advisor or considering a career in finance, Yana’s story serves as a stark reminder that integrity is non-negotiable in this field. It’s the bedrock of everything.
Let’s keep asking the right questions, doing our research, and protecting ourselves and our financial futures. Because in the end, trust is priceless.
