AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
KG

Kristine Marie Goldbach

CRD# 2352622·Registered 1993 - 2020
Previously Registered: Being a previously registered professional could mean that Kristine 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.

Professional Summary

Kristine Marie Goldbach was a registered financial advisor. Kristine was a previously registered financial professional and started their career in finance 1993 - 2020. Kristine had worked at 10 firms and has passed the Series 7TO, Series 79TO, Series 99TO, SIE, Series 57TO, Series 7 and Series 27 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

33 years in the financial services industry

Current & Past Employments

SIXTEEN SECURITIES, INC.·CRD# 104025
BD
South Miami, FL
July 17, 2019 - April 2, 2020
TRIPOINT GLOBAL EQUITIES/BANQ(R)·CRD# 143174
BD
New York, NY
January 11, 2019 - March 13, 2020
WAYPOINT DIRECT INVESTMENTS, LLC·CRD# 132475
BD
Stamford, CT
January 11, 2019 - April 22, 2020
TRADIER BROKERAGE, INC.·CRD# 104982
BD
Charlotte, NC
January 9, 2019 - March 30, 2020
BCW SECURITIES LLC·CRD# 144930
BD
Westport, CT
January 4, 2019 - April 22, 2020
ALDERMAN & COMPANY CAPITAL, LLC·CRD# 136492
BD
Danbury, CT
January 2, 2019 - April 22, 2020
WELLS FARGO SECURITIES, LLC·CRD# 126292
BD
Charlotte, NC
July 1, 2003 - March 1, 2018
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
October 1, 1999 - July 1, 2003
FIRST UNION CAPITAL MARKETS CORP.·CRD# 6124
BD
Charlotte, NC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.·CRD# 19002
BD
Charlotte, NC
June 25, 1993 - February 2, 1998

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

SS
SIXTEEN SECURITIES, INC.

SIXTEEN SECURITIES, INC. | TRYCO SECURITIES, INC.

CRD#: 104025 / SEC#: 8-52479
BD
Terminated by SEC on 06/01/2020

Contact Information

Established

Texas since 02/15/2000

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SIXTEEN MARKETS, INC.OWNER—
GOLDBACH, KRISTINE MARIEFINOP, PFO, POO2352622
MATTEINI, FRANCESCOCCO4991747
MUI, JASPER KOONHUNGGSP2695214
WIEDMAN, GARY DAVIDCEO, DIRECTOR1947935

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 7TO — General Securities Representative Examination

Passed Apr 2024About the Series 7TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Apr 2024About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Apr 2024About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Apr 2024About the SIE exam

Series 57TO — Securities Trader Exam

Passed Apr 2024About the Series 57TO exam

Series 7 — General Securities Representative Examination

Passed Jun 1993About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Apr 2024About the Series 27 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
KG
Follow Kristine
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required