Stephen J. Goldstein
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.
Stephen J Goldstein, CFP® was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2020 - April 1, 2022
DAKOTA WEALTH SOLUTIONS, LLC
January 25, 2017 - December 31, 2018
DAKOTA WEALTH SOLUTIONS, LLC
January 12, 2016 - December 31, 2016
DAKOTA WEALTH SOLUTIONS, LLC
December 1, 2014 - November 11, 2016
REGULUS FINANCIAL GROUP, LLC
December 3, 2012 - December 31, 2015
DAKOTA WEALTH SOLUTIONS, LLC
January 8, 2007 - December 31, 2012
PTS BROKERAGE, LLC
January 8, 2007 - December 31, 2012
PTS BROKERAGE, LLC
February 6, 2006 - January 11, 2007
OSAIC FS, INC.
August 18, 2005 - January 11, 2007
OSAIC FS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
DAKOTA WEALTH SOLUTIONS, LLC
CRD#: 165708 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 382,000 |
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.
