Michael Lewis Goldstein
Professional Summary
Michael Lewis Goldstein is a registered financial advisor currently at EMPIRICAL RESEARCH PARTNERS LLC located in New York, New York. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 86, Series 87, Series 3, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
EMPIRICAL RESEARCH PARTNERS LLC
Contact Information
Main Address
551 Fifth Avenue Suite 1800, New York`, NY 10176Mailing Address
551 Fifth Avenue Suite 1800, New York, NY 10176Phone Number
(212) 803-8000Established
Delaware since 06/25/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
26FINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/23/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Aug 2004About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Lewis Goldstein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Lewis Goldstein's CRS (Customer Relationship Summary).
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