Individual Firm
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DAVID AARON GOLDSTEIN
David a Goldstein
CRD#: 2407371
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1579 50TH ST
BROOKLYN, NY 11219
BROOKLYN, NY 11219
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1579 50TH ST
BROOKLYN, NY 11219
BROOKLYN, NY 11219
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7/14/2022
Judgment / Lien
State Registrations
B
Connecticut 2/28/2023
B
New York 3/1/2023
B
Florida 2/20/2025
IA
New York 6/29/2023
B
New Jersey 3/1/2023
B
Pennsylvania 3/10/2025
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/29/2023
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Registered with this firm since 2/28/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/28/2023 - 06/29/2023 | BROOKLYN, NY | |
IA | 01/29/2018 - 02/28/2023 | HOLBROOK, NY | |
B | 11/14/2017 - 02/28/2023 | Brooklyn, NY | |
B | 02/22/2000 - 11/06/2017 | BROOKLYN, NY | |
B | 02/22/1999 - 02/25/2000 | SCOTTSDALE, AZ | |
B | 11/12/1993 - 02/22/1999 | SYRACUSE, NY |
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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.