Individual Firm
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IVAN GOLDSTEIN
RICK GOLDSTEIN
CRD#: 1199886
IA
B
WELLS FARGO ADVISORSCRD#: 19616 3059 TOWNSGATE RD
4TH FL, STE 400
WESTLAKE VILLAGE, CA 91361
4TH FL, STE 400
WESTLAKE VILLAGE, CA 91361
0
Disclosures
41
Years of Experience
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State Registrations
B
Arizona 8/29/2024
B
New Jersey 7/1/2003
B
California 7/1/2003
B
New York 7/1/2003
IA
California 7/1/2003
B
Ohio 2/11/2020
B
Connecticut 7/1/2003
B
Texas 11/4/2010
B
Florida 6/26/2013
IA
Texas 11/9/2010
B
Maine 9/23/2021
B
Washington 8/25/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 7/1/2003
B
Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/27/1998 - 07/01/2003 | WESTLAKE VILL, CA | |
B | 10/11/1994 - 07/01/2003 | NEW YORK, NY | |
B | 07/31/1993 - 10/14/1994 | NEW YORK, NY | |
B | 10/14/1985 - 07/31/1993 | NEW YORK, NY | |
B | 10/19/1983 - 10/21/1985 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.