Sanford H. Goldstein

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CRD#: 1070577

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sanford Hugh Goldstein, who also goes by Sandy Goldstein, was a registered financial professional .

Sanford is a previously registered financial professional and started their career in finance in 1983. Sanford had worked at 11 firms and has passed the Series 63, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandy 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 29, 2013 - April 7, 2014

IBN FINANCIAL SERVICES, INC.

CRD#: 42360

LIVERPOOL, NY

Past

October 7, 2008 - April 28, 2011

COMMONWEALTH CAPITAL SECURITIES CORP.

CRD#: 39979

CLEARWATER, FL

Past

August 13, 2007 - October 3, 2008

U.S. SELECT SECURITIES LLC

CRD#: 133082

NAPA, CA

Past

May 4, 2005 - August 24, 2007

COMMONWEALTH CAPITAL SECURITIES CORP.

CRD#: 39979

CLEARWATER, FL

Past

July 23, 2004 - May 3, 2005

BASIC INVESTORS INC.

CRD#: 1187

MELVILLE, NY

Past

April 1, 2002 - September 6, 2002

ANTHEM SECURITIES, INC.

CRD#: 42420

PITTSBURGH, PA

Past

September 24, 1990 - June 21, 2001

FIRST CAPITAL EQUITIES,LTD.

CRD#: 14428

LAKE SUCCESS, NY

Past

April 14, 1987 - October 24, 1988

RUDBART INVESTMENT CORP.

CRD#: 16298

Past

February 28, 1986 - October 24, 1988

RUDBART INVESTMENT CORP.

CRD#: 16298

Past

December 17, 1984 - December 2, 1987

DOWMAR SECURITIES, INC.

CRD#: 13422

Past

June 28, 1984 - December 6, 1984

EBCO SECURITIES TRADING CO.,INC.

CRD#: 12998

Past

November 21, 1983 - June 5, 1984

AMERICAN DIVERSIFIED EQUITY CORPORATION

CRD#: 13454

Past

February 2, 1983 - July 25, 1983

LISS TENNER & GOLDBERG SECURITIES CORPORATION

CRD#: 8173

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/9/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 10/18/1982

Municipal Securities Representative Examination

Current Firm

IBN FINANCIAL SERVICES, INC.

IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.

CRD#: 42360 / SEC#: 801-111848, 8-49815

RIA

Registered Investment Advisory firm - SEC (10/12/2017 Approved)

Kentucky

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (2/28/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (7/19/2021 Terminated)

Oregon

Registered Investment Advisory firm - SEC (8/12/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (2/5/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/1/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

404 Old Liverpool Rd, Liverpool, NY 13088

Mailing Address

P.o. Box 2365, Liverpool, NY 13089

Phone number

(315) 652-4426

Established

New York since 12/15/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RICHARD J CARLESCO JR (3/21/2025)

IBN FN PART 2A BROCHURE (3/21/2025)

CHRIS AVERY FORM 2B (3/21/2025)

FRED KAHN FORM 2B (3/21/2025)

MARK LEVITCH FORM 2B (3/21/2025)

SUSAN LOHMILLER FORM 2B (3/21/2025)

PATRICK DELANEY FORM 2B (3/21/2025)

RALPH PLINE FORM 2B (3/21/2025)

DANIEL RIPLEY ADV PART 2B (3/21/2025)

DEAN MACRIS FORM 2B (3/21/2025)

SAMUEL BIANCHI FORM 2B (3/21/2025)

ELLIOT SCHRAG FORM 2B (3/21/2025)

HARJIT ARORA PHD FORM 2B (3/21/2025)

PETER BIFFARELLA FORM 2B (3/21/2025)

SCOTT CURTIS FORM 2B (3/21/2025)

THERESA LYNN ELLIS FORM 2B (3/21/2025)

TODD GLENN FORM 2B (3/21/2025)

CHAD COLBERT FORM 2B (3/21/2025)

STEVE YAZELL FORM 2B (3/21/2025)

F. WILLIAM LIBARDONI JR. FORM 2B (3/21/2025)

ERIK LENTINEN FORM 2B (3/21/2025)

JOHN MAHSHIE FORM 2B (3/21/2025)

R STEVENS FORM 2B (3/21/2025)

HOWARD MODELL- FORM 2B BROCHURE (3/21/2025)

LOREN WOOD FORM 2B- BROCHURE (3/21/2025)

ROBERT D'AGOSTA FORM 2B- BROCHURE (3/21/2025)

ANDREW CAMARDA- FORM 2B BROCHURE (3/21/2025)

KRISTINA SINITSIN FORM 2B- BROCHURE (3/21/2025)

ROBERT TACKABURY FORM 2B- BROCHURE (3/21/2025)

ROBERT STAR FORM 2B- BROCHURE (3/21/2025)

ROBERT MOSKWA FORM 2B (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
CARLESCO, RICHARD JAMES JR	CHIEF EXECUTIVE OFFICER, CHEIF FINANCIAL OFFICER	2135988
AVERY, CHRISTOPHER RYAN	CHIEF OPERATIONS OFFICER	4706653
EVANS, TIMOTHY EDWARD	EQUITY PARTNER	6259284
BODKIN, GREGORY PATRICK	CHIEF COMPLIANCE OFFICER	3008389

Regulatory assets under management

Total Number of Accounts	768
AUM (Assets Under Management)	$ 180,458,175

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sanford H. Goldstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH CAPITAL SECURITIES CORP.

U.S. SELECT SECURITIES LLC

COMMONWEALTH CAPITAL SECURITIES CORP.

BASIC INVESTORS INC.

ANTHEM SECURITIES, INC.

FIRST CAPITAL EQUITIES,LTD.

RUDBART INVESTMENT CORP.

RUDBART INVESTMENT CORP.

DOWMAR SECURITIES, INC.

EBCO SECURITIES TRADING CO.,INC.

AMERICAN DIVERSIFIED EQUITY CORPORATION

LISS TENNER & GOLDBERG SECURITIES CORPORATION

Primary Firm SEC Registration

IBN FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/9/1984

Series 7

Date: 6/18/1983

Series 52

Date: 10/18/1982

Current Firm

IBN FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (18 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

IBN FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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