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Detailed Report
KEITH RUSSEL GOLDSTEIN
CRD#: 1909843
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 58 S SERVICE RD
MELVILLE, NY 11747
Registration History
19901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2009 - Present (15 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2007 - Present (17 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2000 - 2007 (7 years)BH&R BLOCK FINANCIAL ADVISORS, INC. (CRD# 5979)1991 - 2000 (8 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1990 - 1991 (1 year)BBUTCHER & SINGER INC. (CRD# 6517)1989 - 1990 (<1 year)
Disclosure(s)
View By:
10/29/2019
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/25/2019
B
Montana 9/25/2020
B
California 7/23/2014
B
New Jersey 12/11/2007
B
Colorado 12/22/2019
IA
New Jersey 7/31/2009
B
Connecticut 4/2/2020
B
New York 12/11/2007
B
Florida 12/11/2007
IA
New York 7/27/2021
B
Maryland 3/3/2016
B
North Carolina 8/13/2019
B
Massachusetts 1/17/2019
B
South Carolina 12/9/2019
B
Missouri 2/23/2009
B
Washington 11/12/2019

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
58 S SERVICE RD, MELVILLE, NY 11747
Registered with this firm since 7/31/2009
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
58 S SERVICE RD, MELVILLE, NY 11747
Registered with this firm since 12/11/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/08/2000 - 12/13/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) JERICHO, NY
B
 12/21/1991 - 09/14/2000 H&R BLOCK FINANCIAL ADVISORS, INC. (CRD#:5979) DETROIT, MI
B
 01/18/1990 - 01/31/1991 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 03/21/1989 - 01/31/1990 BUTCHER & SINGER INC. (CRD#:6517)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.