Stephen R. Goldstein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Richard Goldstein, who also goes by Steve Goldstein, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1968. Stephen had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 5, PC, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2012 - September 8, 2015
VIEW CAPITAL RIA, LP
April 6, 2006 - September 8, 2015
VCA SECURITIES, LP
January 13, 2001 - April 12, 2006
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - April 12, 2006
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
May 22, 1989 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
July 16, 1979 - October 21, 1979
LEHMAN BROTHERS INC.
January 18, 1978 - July 16, 1979
LOEB PARTNERS
February 2, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
March 29, 1974 - January 30, 1977
RAUSCHER PIERCE REFSNES, INC.
November 18, 1970 - March 29, 1974
RAUSCHER PIERCE SECURITIES CORPORATION
September 17, 1969 - November 2, 1973
RAUSCHER PIERCE SECURITIES CORPORATION
September 3, 1968 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
Primary Firm SEC Registration
VIEW CAPITAL RIA, LP
CRD#: 130678 / SEC#: 801-62983
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 9/3/1968
General Securities Principal ExaminationSeries 1
Date: 9/3/1968
Registered Representative ExaminationCurrent Firm
VIEW CAPITAL RIA, LP
CRD#: 130678 / SEC#: 801-62983
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 169 |
| AUM (Assets Under Management) | $ 1,774,409,102 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/18/2023 | ||
| 09/28/2022 |
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.
