Michael Robert Goldstein
Professional Summary
Michael Robert Goldstein, who also goes by Mike Goldstein, is a registered financial advisor currently at SAXONY SECURITIES, INC. located in Lincolnshire, Illinois. Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 27 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
Mike Goldstein
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
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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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Years of Experience
35 years in the financial services industry
Current & Past Employments
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Current Firm
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES
Contact Information
Main Address
11152 S Towne Square, St. Louis, MO 63123Mailing Address
11152 S Towne Square, St. Louis, MO 63123Phone Number
(314) 963-9336Established
Missouri since 07/13/2001Firm Type
CorporationFiscal Year End
MarchFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
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.
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
(8/1/2016)
(8/1/2016)
(8/1/2016)
(8/1/2016)
(8/1/2016)
(8/1/2016)
(8/1/2016)
(12/8/2023)
(1/28/2026)
(2/9/2017)
(8/1/2016)
(8/1/2016)
(8/1/2016)
(10/2/2024)
(2/10/2017)
(12/8/2023)
(9/19/2024)
(8/1/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Michael Robert Goldstein's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
