MG
Marc D. Goldstein
KESTRA ADVISORY SERVICES
Rye, NY 10580
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CRD#: 2382095
MG
Professional summary
Marc David Goldstein, AIF® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Rye, New York and KESTRA INVESTMENT SERVICES, LLC located in Rye, New York.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Marc has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78738 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Rep Start Date: 2/1/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 71% - 80% (99 - 112 hours) Duties: Sales and consultingBusiness Name: marc goldstein associates, llc Investment Related: Yes Address: 333 west 39th street, suite 1104 new york NY 10018 Nature of Business: Real Estate Position, Title or Relationship: general member Start Date: 10/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: negotiate lease and pay rentBusiness Name: Marc Goldstein Associates Investment Related: Yes Address: 333 west 39th street, suite 1104 new york NY 10018 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: owner Start Date: 12/5/1994 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: sales & management
CRS (Client Relationship Summary) - RIA
Click below to view Marc David Goldstein's 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®
Experience
Current
February 20, 2021 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 411 Theodore Fremd Ave Suite 206 South, Rye, NY 10580RIA
CRD#: 283330
Rye, NY
Current
February 16, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 411 Theodore Fremd Ave Suite 206s, Rye, NY 10580BD
CRD#: 42046
Rye, NY
Past
June 18, 2013 - February 23, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
NEW YORK, NY
Past
June 4, 2013 - February 23, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NEW YORK, NY
Past
August 4, 2008 - June 10, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
June 11, 2008 - June 10, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
August 31, 1994 - June 10, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NEW YORK, NY
Past
September 13, 1993 - September 27, 1994
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(2/16/2021)
RR
Connecticut(2/16/2021)
RR
Delaware(9/16/2021)
RR
District of Columbia(2/16/2021)
RR
Florida(2/16/2021)
RR
Georgia(2/19/2021)
RR
Maryland(2/16/2021)
RR
Massachusetts(2/16/2021)
RR
Montana(2/16/2021)
RR
New Jersey(2/16/2021)
RR
New York(2/16/2021)
IAR
New York(2/20/2021)
RR
North Carolina(2/25/2021)
RR
Ohio(2/16/2021)
RR
Pennsylvania(2/16/2021)
RR
Tennessee(10/28/2021)
RR
Virginia(2/16/2021)
RR
Washington(6/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
