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
GG

Gregory E. Goldstein

Some features on this profile are disabled
CRD#: 2412387
GG

Professional summary

Gregory Evan Goldstein was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Gregory had worked at 4 firms, which includes MARQUIS FINANCIAL SERVICES INC., BENSON YORK GROUP INC., EISNER SECURITIES INC., JOSEPH DILLON & COMPANY INC..

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 12, 2001 - February 15, 2013

MARQUIS FINANCIAL SERVICES, INC.

BD
CRD#: 20733
TARZANA, CA
Past

February 1, 1999 - January 4, 2001

BENSON YORK GROUP, INC.

BD
CRD#: 40231
MELVILLE, NY
Past

July 22, 1997 - December 7, 1998

EISNER SECURITIES, INC.

BD
CRD#: 40585
ST. LOUIS, MO
Past

May 24, 1995 - June 3, 1997

JOSEPH DILLON & COMPANY INC.

BD
CRD#: 35220
GREAT NECK, NY

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

State Security Law Exam
RR
Series 63
Date: 5/31/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/7/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/15/1997
General Securities Principal Examination

Current Firm

MF
MARQUIS FINANCIAL SERVICES, INC.
BENCHMARK CAPITAL MANAGEMENT | THE NORTHWOODS TRADING COMPANY, INC. | STEVEN GREGORY SECURITIES | MARQUIS FINANCIAL SERVICES, INC. | MARQUIS FINANCIAL SERVICES OF INDIANA, INC. | MARQUIS FINANCIAL SERVICES OF INDIANA INC. | BENCHMARK CAPITAL MANAGEMENT, INCORPORATED

CRD#: 20733 / SEC#: , 8-38398

BD
Terminated by SEC on 08/18/2013
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
Wisconsin since 06/06/1985
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OKUN, ART KINGSLEYPRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL2280918
OKUN, ART KINGSLEYCHIEF COMPLIANCE OFFICER2280918

Disclosures

Regulatory Event5
Arbitration3

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

MARQUIS FINANCIAL SERVICES, INC.

CRD#: 20733

TRUST BUT VERIFY

Monitor Gregory Goldstein

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.