Stacy M. Goldsmith

RPM CAPITAL MANAGEMENT

Hackensack, NJ

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CRD#: 1416323

Professional summary

Stacy Mari Goldsmith, who also goes by Stacy Goldsmith, is a registered financial advisor currently at RPM CAPITAL MANAGEMENT, LLC located in Hackensack, New Jersey.

Stacy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Stacy has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stacy Goldsmith

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) - RIA

Click below to view Stacy Mari Goldsmith'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

February 19, 2026 - Present

RPM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 164200

Hackensack, NJ

Past

February 14, 2020 - December 3, 2024

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

Red Bank, NJ

Past

May 24, 2016 - February 3, 2020

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

Iselin, NJ

Past

February 22, 2012 - December 3, 2024

HERBERT J. SIMS & CO, INC.

CRD#: 3420

Red Bank, NJ

Past

December 15, 2008 - March 2, 2012

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

September 1, 2004 - December 31, 2008

GLEN RAUCH SECURITIES, INC.

CRD#: 17843

NEW YORK, NY

Past

October 20, 2003 - August 30, 2004

W. H. MELL ASSOCIATES, INC.

CRD#: 23635

SUMMIT, NJ

Past

May 1, 2002 - October 20, 2003

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

April 24, 2001 - May 1, 2002

DIME SECURITIES, INC.

CRD#: 28955

BROOKLYN, NY

Past

October 1, 2000 - May 22, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

February 16, 1996 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

October 5, 1993 - January 3, 1996

FIRST FIDELITY BROKERS, INC.

CRD#: 15225

NEWARK, NJ

Past

May 8, 1990 - October 13, 1992

FIRST INSTITUTIONAL SECURITIES, L.L.C.

CRD#: 23910

WEST PATERSON, NJ

Past

May 7, 1990 - March 25, 1992

BROADWAY FINANCIAL INVESTMENT SERVICES CORP.

CRD#: 23906

Past

March 26, 1990 - May 8, 1990

R. SEELAUS & CO., LLC

CRD#: 14974

CHATHAM, NJ

Past

October 23, 1989 - March 14, 1990

COMMONWEALTH SECURITIES AND INVESTMENTS, INC.

CRD#: 7399

PITTSBURGH, PA

Past

October 22, 1985 - July 25, 1989

DISCOUNT CORPORATION OF NEW YORK MUNICIPALS

CRD#: 16510

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".

RPM CAPITAL MANAGEMENT, LLC

CRD#: 164200 / SEC#: 801-107269

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/27/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (6/30/2016 Terminated)

Florida

Registered Investment Advisory firm - (3/30/2016 Terminated)

Illinois

Registered Investment Advisory firm - (3/27/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/30/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2015 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/27/2015 Terminated)

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.

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

New Jersey
(2/19/2026)

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

IAR

Series 66

Date: 8/25/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/26/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/30/1996

Municipal Securities Principal Examination

Current Firm

RPM CAPITAL MANAGEMENT, LLC

CRD#: 164200 / SEC#: 801-107269

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/27/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (6/30/2016 Terminated)

Florida

Registered Investment Advisory firm - (3/30/2016 Terminated)

Illinois

Registered Investment Advisory firm - (3/27/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/30/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2015 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/27/2015 Terminated)

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Contact information

Main Address

800 Westchester Avenue Suite 641 North, Rye Brook, NY 10573

Mailing Address

Phone number

(203) 992-1100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RPM CAPITAL MANAGEMENT ADV PART 2 A JANUARY 2026 (1/13/2026)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 74,330,238

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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Firm Stability Insights

Stacy M. Goldsmith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Mari Goldsmith's CRS (Customer Relationship Summary).

Certified licenses

Experience

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIMS & CO, INC.

UBS FINANCIAL SERVICES INC.

GLEN RAUCH SECURITIES, INC.

W. H. MELL ASSOCIATES, INC.

WAMU INVESTMENTS, INC.

DIME SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

FIRST FIDELITY BROKERS, INC.

FIRST INSTITUTIONAL SECURITIES, L.L.C.

BROADWAY FINANCIAL INVESTMENT SERVICES CORP.

R. SEELAUS & CO., LLC

COMMONWEALTH SECURITIES AND INVESTMENTS, INC.

DISCOUNT CORPORATION OF NEW YORK MUNICIPALS

Primary Firm SEC Registration

RPM CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/25/2011

Series 63

Date: 11/26/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Series 24

Date: 12/16/2000

Series 53

Date: 8/30/1996

Current Firm

RPM CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RPM CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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