Individual Firm
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RICHARD BRUCE GOLDSTEIN
CRD#: 851676
IA
B
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 2300 FIRST STREET
#336
LIVERMORE, CA 94550
#336
LIVERMORE, CA 94550
B. RILEY WEALTH MANAGEMENTCRD#: 2543 2300 FIRST STREET
#336
LIVERMORE, CA 94550
#336
LIVERMORE, CA 94550
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6/13/2016
Customer Dispute
Settled
6/3/1999
Customer Dispute
Settled
6/3/1999
Customer Dispute
Settled
2/24/1999
Customer Dispute
Settled
6/5/1997
Customer Dispute
Award / Judgment
11/23/1994
Customer Dispute
Settled
State Registrations
B
Arizona 7/22/2022
B
New York 7/22/2022
IA
California 5/25/2012
B
Oregon 7/22/2022
B
California 7/22/2022
B
Pennsylvania 7/22/2022
B
Colorado 7/22/2022
B
Rhode Island 7/22/2022
B
Florida 7/22/2022
B
South Carolina 7/22/2022
B
Georgia 7/22/2022
IA
Texas 10/21/2021
B
Idaho 7/22/2022
B
Texas 7/22/2022
B
Illinois 7/22/2022
B
Utah 7/22/2022
B
Kansas 7/22/2022
B
Virginia 7/22/2022
B
Michigan 7/2/2024
B
Washington 7/22/2022
B
Minnesota 7/22/2022
B
Wisconsin 7/22/2022
B
Nevada 7/22/2022
B
Wyoming 7/22/2022
B
New Jersey 7/22/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 5/25/2012
B
Registered with this firm since 7/22/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/27/2012 - 07/22/2022 | LIVERMORE, CA | |
IA | 10/16/2014 - 03/03/2017 | SAN FRANCISCO, CA | |
IA | 07/26/2011 - 05/10/2012 | SAN FRANCISCO, CA | |
B | 07/26/2011 - 05/10/2012 | SAN FRANCISCO, CA | |
IA | 04/09/2012 - 04/20/2012 | ORLANDO, FL | |
B | 04/09/2012 - 04/20/2012 | ORLANDO, FL | |
IA | 09/02/2010 - 08/01/2011 | SAN FRANCISCO, CA | |
B | 07/08/2010 - 08/01/2011 | SAN FRANCISCO, CA | |
IA | 07/31/2009 - 07/14/2010 | SAN FRANCISCO, CA | |
B | 07/31/2009 - 07/14/2010 | SAN FRANCISCO, CA | |
B | 03/31/2007 - 08/10/2009 | SAN FRANCISCO, CA | |
IA | 10/10/2006 - 08/02/2007 | BOSTON, MA | |
B | 06/03/2003 - 04/02/2007 | SAN FRANCISCO, CA | |
B | 02/22/2001 - 06/03/2003 | NEW YORK, NY | |
B | 08/28/1997 - 02/22/2001 | SAN FRANCISCO, CA | |
B | 05/28/1991 - 08/29/1997 | NEW YORK, NY | |
B | 07/06/1982 - 05/28/1991 | NEW YORK, NY | |
B | 10/23/1978 - 07/19/1982 | ||
B | 05/01/1978 - 10/18/1978 |
SAN FRANCISCO, CA
07/26/2011 - 05/10/2012
SAN FRANCISCO, CA
07/31/2009 - 07/14/2010
SAN FRANCISCO, CA
03/31/2007 - 08/10/2009
BOSTON, MA
10/10/2006 - 08/02/2007
NEW YORK, NY
02/22/2001 - 06/03/2003
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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.