Bruce S. Goldstein

INDEPENDENT INVESTMENT BANKERS,

San Diego, CA

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CRD#: 2288224

Professional summary

Bruce Steven Goldstein is a registered financial professional currently at INDEPENDENT INVESTMENT BANKERS, CORP. located in San Diego, California.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 1992. Bruce has worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

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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

December 2, 2020 - Present

INDEPENDENT INVESTMENT BANKERS, CORP.

RIA

CRD#: 154134

San Diego, CA

Past

August 21, 2017 - November 14, 2020

INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134

AUSTIN, TX

Past

June 18, 2015 - August 18, 2017

LPE SECURITIES, LLC

CRD#: 117851

Coral Gables, FL

Past

April 3, 2012 - June 17, 2015

TRANCEKA CAPITAL, LLC

CRD#: 118028

CORAL GABLES, FL

Past

May 30, 2006 - June 20, 2006

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

May 16, 2002 - January 7, 2005

MILESTONE ADVISORS LLC

CRD#: 112481

MCLEAN, VA

Past

April 11, 1997 - October 15, 2001

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

NEW YORK, NY

Past

October 24, 1996 - March 10, 1997

RYAN BECK & CO.

CRD#: 3248

FLORHAM PARK, NJ

Past

December 23, 1992 - January 26, 1995

SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328

NEW YORK, NY

State Registrations and Notice Filings

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

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

Florida
(12/2/2020)

Exams

State Security Law Exam

Series 63

Date: 6/18/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/13/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 4/2/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

INDEPENDENT INVESTMENT BANKERS CORP. | INDEPENDENT INVESTMENT BANKERS, CORP.

CRD#: 154134 / SEC#: , 8-68609

Arizona

Registered Investment Advisory firm - SEC (7/14/2025 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/14/2025 Termination Requested)

Washington

Registered Investment Advisory firm - SEC (8/14/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

11801 Domain Blvd 3rd Floor, Austin, TX 78758

Mailing Address

2900 North Quinlan Park Rd. Suite# 240-235, Austin, TX 78732

Phone number

(512) 266-3000

Established

Delaware since 04/07/2010

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
IIB HOLDINGS, CORP.	OWNER
FICHERA, DANTE	CEO/CFO	3059445
GODDARD, HOUSTON ALLEN	CCO AND GENERAL COUNSEL	1260759

Red Flags

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Firm Stability Insights

Bruce S. Goldstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bruce Steven Goldstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT INVESTMENT BANKERS, CORP.

LPE SECURITIES, LLC

TRANCEKA CAPITAL, LLC

H.C.WAINWRIGHT & CO., LLC

MILESTONE ADVISORS LLC

KEEFE, BRUYETTE & WOODS, INC.

RYAN BECK & CO.

SANDLER, O'NEILL & PARTNERS, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/18/2012

SIE

Date: 10/1/2018

Series 79

Date: 5/13/2014

Series 7

Date: 4/2/2012

Series 24

Date: 3/26/1993

FINRA

Current Firm

INDEPENDENT INVESTMENT BANKERS, CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

INDEPENDENT INVESTMENT BANKERS, CORP.

TRUST BUT VERIFY

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