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MG

Michael R. Goldstein

SAXONY SECURITIES
Northbrook, IL 60062
Some features on this profile are disabled
CRD#: 1819371
MG

Professional summary

Michael Robert Goldstein, who also goes by Mike Goldstein, is a registered financial professional currently at SAXONY SECURITIES, INC. located in Northbrook, 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Goldstein

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) - BD

Click below to view Michael Robert Goldstein'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

August 1, 2016 - Present

SAXONY SECURITIES, INC.

Office #1: 666 Dundee Road Suite 502, Northbrook, IL 60062
BD
CRD#: 115547
Northbrook, IL
Past

January 11, 2005 - August 2, 2016

FORESIGHT INVESTMENTS, LLC

BD
CRD#: 132644
NORTHBROOK, IL
Past

August 4, 2003 - July 18, 2005

JERSEY SHORE TRADING GROUP INC.

BD
CRD#: 47440
RED BANK, NJ
Past

January 23, 2002 - September 8, 2003

PHILLIP LOUIS TRADING, INC.

BD
CRD#: 19378
RED BANK, NJ
Past

September 19, 1995 - January 23, 2002

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

April 5, 1994 - August 17, 1995

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 10, 1991 - March 18, 1994

BNY CLEARING SERVICES LLC

BD
CRD#: 15879
MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Arizona
(8/1/2016)
RR
California
(8/1/2016)
RR
Colorado
(8/1/2016)
RR
Connecticut
(8/1/2016)
RR
Florida
(8/1/2016)
RR
Illinois
(8/1/2016)
RR
Indiana
(8/1/2016)
RR
Michigan
(12/8/2023)
RR
Nevada
(2/9/2017)
RR
New Jersey
(8/1/2016)
RR
New York
(8/1/2016)
RR
Pennsylvania
(8/1/2016)
RR
South Carolina
(10/2/2024)
RR
Texas
(2/10/2017)
RR
Utah
(12/8/2023)
RR
Washington
(9/19/2024)
RR
Wisconsin
(8/1/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/9/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/13/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/1/1994
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
CLARK, BRIAN LESLEYCFO4802438
GRIFFARD, RICHARD EDWARDPRESIDENT/CEO/DIRECTOR2472251
KLUMP, RYAN CHRISTOPHERCOO4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTVICE PRESIDENT6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

SAXONY SECURITIES, INC.

CRD#: 115547Northbrook, IL 60062

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