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Alan Edward Goldstein
CRD#: 224502
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 608 Silver Spur Road
Suite 100
Rolling Hills, CA 90274
Registration History
1970197519801985199019952000200520102015202020252 FIRMS2008 - 2017 (8 years)2 FIRMS2017 - Present (7 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2008 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1967 - 1988 (20 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2008 (11 years)
License(s)

State Registrations

B
Arizona 10/27/2017

B
New Hampshire 11/9/2020

B
California 10/27/2017

B
New Jersey 10/27/2017

IA
California 10/27/2017

B
New Mexico 7/9/2019

B
Colorado 10/27/2017

B
New York 10/27/2017

B
Connecticut 10/27/2017

B
North Carolina 10/27/2017

B
Delaware 10/27/2017

B
Ohio 3/5/2020

B
Florida 10/27/2017

B
Oregon 10/27/2017

B
Georgia 7/18/2023

B
Pennsylvania 2/2/2023

B
Hawaii 1/24/2018

B
South Carolina 1/31/2022

B
Idaho 10/27/2017

B
South Dakota 10/27/2017

B
Indiana 10/27/2017

B
Tennessee 1/3/2020

B
Kansas 10/27/2017

B
Texas 10/27/2017

B
Maryland 10/27/2017

IA
Texas 10/27/2017

B
Massachusetts 10/27/2017

B
Vermont 1/11/2023

B
Michigan 10/27/2017

B
Virginia 2/28/2023

B
Mississippi 10/27/2017

B
Washington 10/27/2017

B
Montana 10/27/2017

B
Wyoming 2/3/2022

B
Nevada 10/27/2017

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
608 Silver Spur Road Suite 100, Rolling Hills, CA 90274
palos verdes estates, CA
Registered with this firm since 10/27/2017

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
608 Silver Spur Road Suite 100, Rolling Hills, CA 90274
palos verdes estates, CA
Registered with this firm since 10/27/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/12/2008 - 10/31/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROLLING HILLS ESTATES, CA
B
12/11/2008 - 10/31/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROLLING HILLS ESTATES, CA
IA
07/08/1997 - 12/18/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ROLLING HILLS, CA
B
07/31/1993 - 12/18/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ROLLING HILLS, CA
B
02/15/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
12/20/1967 - 02/15/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
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B
Broker
IA
Investment Adviser
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.