PG
Philip A. Goldstein
1ST FINANCIAL INVESTMENT
Clark's Summit, PA 18411-1056
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CRD#: 1031460
PG
Professional summary
Philip Alan Goldstein, who also goes by Phil Goldstein, Philip A Goldstein, is a registered financial advisor currently at 1ST FINANCIAL INVESTMENT, INC. located in Clark's Summit, Pennsylvania.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Philip has worked at 11 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Phil Goldstein | Philip A Goldstein
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1ST FINANCIAL INVESTMENT, INC. PRESIDENT. COMPANY IS A REGISTERED INVESTMENT ADVISOR. NUMBER OF HOURS CAN VERY AND ARE MOSTLY DURING TRADING HOURS. I AM ALSO AN INDIRECT PASSIVE OWNER THROUGH THE HOLDING COMPANY. 1ST FINANCIAL INVESTMENTS, INC. PRESIDENT. IN SOME STATES THIS ENTITY IS ALSO KNOWN AS PENNSYLVANIA 1ST FINANCIAL INVESTMENTS, INC. NUMBER OF HOURS CAN VARY AND CAN BE DURING BOTH TRADING AND NON-TRADING HOURS. I AM ALSO AN INDIRECT PASSIVE OWNER THROUGH THE HOLDING COMPANY SOCIAL SECURITY CONSULTANTS, INC. CONSULTANT ON SOCIAL SECURITY. THIS IS A SEPARATE FICTITIOUS D/B/A NAME UNDER 1ST FINANCIAL INVESTMENTS, INC. FOR CONSULTING AND MARKETING ON SOCIAL SECURITY. NUMBER OF HOURS VARIOUS AND CAN BE BOTH DURING TRADING HOURS AND NON TRADING HOURS College Planning Services. Consulting on College Planning and assisting on FASFA form. Number of Hours varies and can be during both trading and non trading hours. This is a separate Fictitious d/b/a Name under 1st Financial Investments, Inc. and used for marketing purposes. Bariatric Solutions for Life This is a fictitious d/b/a name under 1st Financial Investments, Inc. Consulting and Marketing tool to offer and sell Life Insurance to those who have had some sort of Bariatric & Weight Loss surgery. Number of hours vary during both trading and non-trading hours. Simplicity Group & Advisor's Choice Insurance Brokerage Services, LLC Independent Insurance Advisor. Affiliated with both companies as they are the Managing General Agent / FMO / IMO for Fixed Annuity & Insurance Business. Number of hours vary during both trading and non-trading hours. Lifetime Income 4 You, Inc. This is a fictitious d/b/a under 1st Financial Investments, Inc merely used for marketing purposes. Number of hours varies and can be both during trading and non-trading hours. NEPA Financial Group, G.P. This is the holding company for my various business entities. Various trust accounts are the owners and partners. I am an indirect Passive owner as beneficiary of one of the trusts. 1st Financial Tax Services, LLC. This entity is a tax preparation company. I am not involved in the normal day to day operations nor do I do any of the tax prep. I am an indirect passive owner through the Holding company and am also the Vice-President. 1st Financial Safeguard, Co. This entity is an Insurance General Agency for Fixed Insurance & Annuities. I am the president and an indirect owner through the holding company. Activity can take place during trading hours and number of hours vary. Society for Financial Awareness (SOFA) I am affiliated as a consultant and educator. I receive no direct compensation from this company. Number of hours vary during both trading and non-trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Alan Goldstein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 6, 2016 - Present
1ST FINANCIAL INVESTMENT, INC.
Office #1: 116 North State Street 1st Floor, Clark's Summit, PA 18411-1056RIA
CRD#: 283072
Clark's Summit, PA
Past
April 14, 2016 - August 11, 2025
VERE GLOBAL WEALTH MANAGEMENT
RIA
CRD#: 154312
Clark's Summit, PA
Past
June 6, 2011 - February 14, 2014
KALOS CAPITAL, INC.
BD
CRD#: 44337
CLARK'S SUMMIT, PA
Past
June 3, 2011 - February 14, 2014
KALOS MANAGEMENT
RIA
CRD#: 133025
CLARKS SUMMIT, PA
Past
March 17, 2011 - July 7, 2011
WFG INVESTMENTS, INC.
BD
CRD#: 22704
CLARKS SUMMIT, PA
Past
March 7, 2011 - July 7, 2011
WFG ADVISORS, LP
RIA
CRD#: 125073
CLARKS SUMMIT, PA
Past
October 8, 2004 - March 8, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
CLARK'S SUMMIT, PA
Past
October 6, 2004 - March 8, 2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CLARK'S SUMMIT, PA
Past
February 25, 2002 - September 29, 2004
MIDSOUTH CAPITAL, INC.
BD
CRD#: 35039
ATLANTA, GA
Past
April 21, 1995 - February 22, 2002
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
July 24, 1993 - April 24, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 1, 1982 - July 15, 1993
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Pennsylvania(5/6/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 5/5/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
1F
1ST FINANCIAL INVESTMENT, INC.
1ST FINANCIAL INVESTMENT, INC. | SOCIAL SECURITY CONSULTING SERVICES, INC. | PENNSYLVANIA 1ST FINANCIAL INVESTMENTS, INC. | PENNSYLVANIA 1ST FINANCIAL INVESTMENTS | COLLEGE PLANNING SERVICES, INC. | BIRIATRIC SOLUTIONS FOR LIFE | 1ST FINANCIAL INVESTMENTS, INC. | 1ST FINANCIAL INVESTMENT, L.P. | 1ST FINANCIAL INVESTMENT, INC. OF PENNSYLVANIA
CRD#: 283072 / SEC#:
Colorado
Registered Investment Advisory firm - (6/10/2022 Approved)Louisiana
Registered Investment Advisory firm - (9/7/2021 Approved)Minnesota
Registered Investment Advisory firm - (6/14/2018 Approved)Pennsylvania
Registered Investment Advisory firm - (5/5/2016 Approved)Texas
Registered Investment Advisory firm - (5/18/2022 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
116 North State Street 1st Floor, Clark's Summit, PA 18411-1056
Mailing Address
Phone number
(570) 585-6100
Established
Firm type
Fiscal year end
# of Employees
8
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 15,411,547 |
Red Flags
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