AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KG

Kristine M. Goldbach

Some features on this profile are disabled
CRD#: 2352622
KG

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.

Kristine Marie Goldbach was a registered financial professional .

Kristine is a previously registered financial professional and started their career in finance in 1993. 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

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

Past

July 17, 2019 - April 2, 2020

SIXTEEN SECURITIES, INC.

BD
CRD#: 104025
SOUTH MIAMI, FL
Past

January 11, 2019 - March 13, 2020

TRIPOINT GLOBAL EQUITIES/BANQ(R)

BD
CRD#: 143174
NEW YORK, NY
Past

January 11, 2019 - April 22, 2020

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

January 9, 2019 - March 30, 2020

TRADIER BROKERAGE, INC.

BD
CRD#: 104982
CHARLOTTE, NC
Past

January 4, 2019 - April 22, 2020

BCW SECURITIES LLC

BD
CRD#: 144930
WESTPORT, CT
Past

January 2, 2019 - April 22, 2020

ALDERMAN & COMPANY CAPITAL, LLC

BD
CRD#: 136492
DANBURY, CT
Past

July 1, 2003 - March 1, 2018

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

October 1, 1999 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 2, 1998 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

June 25, 1993 - February 2, 1998

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 19002
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 4/29/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/29/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/29/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 4/29/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57TO
Date: 4/29/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/24/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/29/2024
Financial and Operations Principal Examination

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
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 02/15/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

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

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

SIXTEEN SECURITIES, INC.

CRD#: 104025

TRUST BUT VERIFY

Monitor Kristine Goldbach

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.