Steven B. Goldis

OSAIC WEALTH

SMITHTOWN, NY 11787

Some features on this profile are disabled

CRD#: 1296658

Professional summary

Steven Bruce Goldis is a registered financial advisor currently at OSAIC WEALTH, INC. located in Smithtown, New York.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1)10/22/2018 - G&G Agency LTD - Insurance Agency - president and owner - inv rel - at reported business location(s) - start: 01/1982 - 100 hr/mth 2)10/22/2018 - G & G Agency LTD - Non-Variable Insurance - inv rel - at reported business location(s) - start: 03/1975 - 100 hr/mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Bruce Goldis's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Steven Bruce Goldis's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 2, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 329 E Main Street Suite 8, Smithtown, NY 11787

RIA

CRD#: 23131

SMITHTOWN, NY

Current

September 2, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 329 E Main Street Suite 8, Smithtown, NY 11787

RIA

CRD#: 23131

SMITHTOWN, NY

Past

August 3, 2021 - September 3, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

SMITHTOWN, NY

Past

November 30, 2018 - September 3, 2025

LPL FINANCIAL LLC

CRD#: 6413

SMITHTOWN, NY

Past

May 1, 2003 - December 3, 2018

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

HAUPPAUGE, NY

Past

January 21, 1997 - December 14, 2005

GOLDIS ASSET MANAGEMENT, INC.

RIA

CRD#: 125692

GARDEN CITY, NY

Past

October 6, 1994 - June 9, 1999

PITTSBURG INSTITUTIONAL INC.

CRD#: 36754

GREAT NECK, NY

Past

January 7, 1987 - April 28, 2003

GOLDIS FINANCIAL GROUP, INC.

CRD#: 16444

GARDEN CITY, NY

Past

February 21, 1986 - March 3, 1990

CARILLON INVESTMENTS, INC.

CRD#: 14646

CINCINNATI, OH

Past

August 21, 1984 - June 25, 1987

USLIFE EQUITY SALES CORP.

CRD#: 7962

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/2/2025)

California
(9/2/2025)

Colorado
(9/2/2025)

Connecticut
(9/2/2025)

Delaware
(9/2/2025)

Florida
(9/3/2025)

Maine
(9/2/2025)

Maryland
(9/2/2025)

Massachusetts
(9/2/2025)

Michigan
(11/3/2025)

Minnesota
(9/2/2025)

New Jersey
(9/2/2025)

New York
(9/2/2025)

IAR

New York
(9/2/2025)

North Carolina
(9/8/2025)

Ohio
(9/2/2025)

Pennsylvania
(9/2/2025)

South Carolina
(9/8/2025)

South Dakota
(9/2/2025)

Texas
(9/2/2025)

Virginia
(9/2/2025)

Washington
(9/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/11/1988

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/4/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/24/1986

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/8/1986

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

Similar Advisors

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Harlan Fischer

CETERA INVESTMENT ADVISERS LLC

IAR

SETAUKET, NY

Gregory Harris

PFS INVESTMENTS INC.

Farmingdale, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven B. Goldis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Bruce Goldis's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Steven Bruce Goldis's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GROVE POINT INVESTMENTS, LLC

GOLDIS ASSET MANAGEMENT, INC.

PITTSBURG INSTITUTIONAL INC.

GOLDIS FINANCIAL GROUP, INC.

CARILLON INVESTMENTS, INC.

USLIFE EQUITY SALES CORP.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2003

Series 63

Date: 9/6/1984

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 4

Date: 4/11/1988

Series 53

Date: 6/4/1987

Series 27

Date: 9/24/1986

Series 24

Date: 1/8/1986

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors