Michael L. Goldstein

EMPIRICAL RESEARCH PARTNERS LLC

New York, NY 10017

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CRD#: 1661076

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.

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.

The advisor shows no other business activity.

Blog Corner

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).

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

August 23, 2023 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017

RIA

CRD#: 123520

New York, NY

Current

March 14, 2003 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 565 Fifth Avenue 25th Floor, New York, NY 10017

RIA

CRD#: 123520

New York, NY

Past

November 1, 2000 - April 8, 2002

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

June 27, 1987 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

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

New York
(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

State Security Law Exam

IAR

Series 65

Date: 7/5/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 8/19/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 8/19/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 3

Date: 1/13/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/20/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520 / SEC#: , 8-65590

New York

Registered Investment Advisory firm - SEC (8/23/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

551 Fifth Avenue Suite 1800, New York`, NY 10176

Mailing Address

551 Fifth Avenue Suite 1800, New York, NY 10176

Phone number

(212) 803-8000

Established

Delaware since 06/25/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GOLDSTEIN, MICHAEL LEWIS	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	1661076
SCHILLING, MICHAEL JAMES	FINOP	2609624

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

Michael L. Goldstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

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).

Certified licenses

Experience

EMPIRICAL RESEARCH PARTNERS LLC

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/5/2023

Series 63

Date: 7/15/1987

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 8/19/2004

Series 87

Date: 8/19/2004

Series 3

Date: 1/13/1998

Series 7

Date: 6/20/1987

Series 14

Date: 1/2/2023

Series 24

Date: 3/16/1995

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EMPIRICAL RESEARCH PARTNERS LLC

TRUST BUT VERIFY

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