RG
Richard L. Goldman
STRATEGIC ADVISERS LLC
ALPHARETTA, GA
Some features on this profile are disabled
CRD#: 2383662
RG
Professional summary
Richard L Goldman, who also goes by Richard Lee Goldman, Ricky Goldman, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Alpharetta, Georgia and FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Lee Goldman | Ricky Goldman
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.
CRS (Client Relationship Summary) - RIA
Click below to view Richard L Goldman'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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ALPHARETTA, GA
Current
January 1, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210BD
CRD#: 7784
Boston, MA
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ATLANTA, GA
Past
July 23, 2007 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
ATLANTA, GA
Past
May 17, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
MARLBOROUGH, MA
Past
September 5, 2005 - May 2, 2006
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
April 17, 2002 - September 30, 2003
PRIMEX
BD
CRD#: 29394
NEW YORK, NY
Past
March 8, 2000 - September 22, 2000
E-INVEST, INC.
BD
CRD#: 18298
SAN FRANCISCO, CA
Past
July 18, 1995 - January 31, 2000
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
August 23, 1994 - July 22, 1995
COMPULIFE INVESTOR SERVICES, INC.
BD
CRD#: 21543
ST. CLOUD, MN
Past
August 5, 1993 - July 22, 1994
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alabama(1/1/2008)
RR
Alaska(1/3/2012)
RR
Arizona(1/3/2012)
RR
Arkansas(1/3/2012)
RR
California(1/3/2012)
RR
Colorado(1/3/2012)
RR
Connecticut(1/3/2012)
RR
Delaware(1/3/2012)
RR
District of Columbia(1/3/2012)
RR
Florida(1/1/2008)
RR
Georgia(1/1/2008)
IAR
Georgia(3/31/2025)
RR
Hawaii(1/3/2012)
RR
Idaho(1/3/2012)
RR
Illinois(1/3/2012)
RR
Indiana(1/3/2012)
RR
Iowa(1/3/2012)
RR
Kansas(1/3/2012)
RR
Kentucky(1/3/2012)
RR
Louisiana(1/3/2012)
RR
Maine(1/3/2012)
RR
Maryland(1/3/2012)
RR
Massachusetts(1/3/2012)
RR
Michigan(1/3/2012)
RR
Minnesota(1/3/2012)
RR
Mississippi(1/1/2008)
RR
Missouri(1/3/2012)
RR
Montana(1/3/2012)
RR
Nebraska(1/3/2012)
RR
Nevada(1/3/2012)
RR
New Hampshire(1/3/2012)
RR
New Jersey(1/3/2012)
RR
New Mexico(1/3/2012)
RR
New York(1/3/2012)
RR
North Carolina(1/1/2008)
IAR
North Carolina(3/31/2025)
RR
North Dakota(1/3/2012)
RR
Ohio(1/4/2012)
RR
Oklahoma(1/3/2012)
RR
Oregon(1/3/2012)
RR
Pennsylvania(1/3/2012)
RR
Rhode Island(1/3/2012)
RR
South Carolina(1/3/2012)
RR
South Dakota(1/3/2012)
RR
Tennessee(1/3/2012)
RR
Texas(1/3/2012)
RR
Utah(1/3/2012)
RR
Vermont(1/3/2012)
RR
Virginia(1/3/2012)
RR
Washington(1/3/2012)
RR
West Virginia(1/3/2012)
RR
Wisconsin(1/3/2012)
RR
Wyoming(1/3/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
