Jon D. Goldstein
GOLDSTEIN ADVISORS | Financial Planner
Madison, WI 53717
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CRD#: 2462505
Professional summary
Jon David Goldstein, CFP®, ChFC®, CLU®, who also goes by Jon Goldstein, is a registered financial advisor currently at GOLDSTEIN ADVISORS, LLC located in Madison, Wisconsin and KESTRA INVESTMENT SERVICES, LLC located in Madison, Wisconsin.
Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jon has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 51, Series 4 and Series 24 exams.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Executive services/Equity comp...
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Jon Goldstein
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.
***WISCONSIN PERINATAL FOUNDATION POSITION: Board Member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No; # OF HOURS: 0 ; DURING SECURITIES TRADING HOURS: 0; START DATE: 05/10/2012; ADDRESS: 1010 Mound St, Madison WI 53715, US; DESCRIPTION: attend quarterly board meetings via phone, review distributions and market forecasts. ***NORTHERN BAY RETREAT, LLC POSITION: Owner NATURE: Real Estate INVESTMENT RELATED: No # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2010 ADDRESS: 1241 John Q Hammons, Suite 302, Madison WI 53717, US DESCRIPTION: This LLC owns my vacation home. ***MADISON4KIDS POSITION: board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No # OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/17/2013 ADDRESS: 1241 John Q Hammons, Suite 302, Madison WI 53717, US DESCRIPTION: Attend board meetings quarterly. ***INDEPENDENT INSURANCE AGENT POSITION: Independent Insurance Agent NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/30/1998 ADDRESS: 1241 John Q Hammons Drive, Suite 302, Madison WI 53717, US DESCRIPTION: Independent Insurance Agent for group life & disability ***BOY SCOUTS OF AMERICA - GLACIERS' EDGE COUNCIL POSITION: Audit Committee Member, Investment Committee Chair NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/20/2017 ADDRESS: 5846 Manufacturers Dr, Madison WI 53704, US DESCRIPTION: Review and oversight of Council Endowment Fund. I do not make any trades or transactions in the endowment fund. ***GOLDSTEIN ADVISORS, LLC POSITION: Investment Advisor Representative for independent RIA; NATURE: Investment advisory services through an independent outside RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/01/2022; ADDRESS: 1241 John Q Hammons, Suite 302, Madison WI , US, 53717; DESCRIPTION: Investment Advisor Representative for independent RIA. ***KESTRA INVESTMENT SERVICES, LLC; investment Related: Yes;Broker/Dealer firm; Investment Advisor Representative; 1241 John Q Hammons Dr Ste 302, Madison, WI 53717; Nature: RIA Firm;Start: 12/2022; Registered Representative.
CRS (Client Relationship Summary) - RIA
Click below to view Jon 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®
CFP®
Start date: 2004
Experience
Current
October 6, 2022 - Present
GOLDSTEIN ADVISORS, LLC
Office #1: 1241 John Q Hammons Dr Suite 302, Madison, WI 53717RIA
CRD#: 323125
Madison, WI
Current
December 1, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1241 John Q Hammons Dr Suite 302, Madison, WI 53717BD
CRD#: 42046
Madison, WI
Past
October 10, 2019 - December 1, 2022
ARBOR POINT ADVISORS
RIA
CRD#: 165127
MIDDLETON, WI
Past
October 10, 2019 - December 1, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MIDDLETON, WI
Past
February 4, 1998 - October 16, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Middleton, WI
Past
February 3, 1998 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
February 3, 1998 - October 16, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Middleton, WI
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".
GA
GOLDSTEIN ADVISORS, LLC
GOLDSTEIN ADVISORS, LLC
CRD#: 323125 / SEC#: 801-126612
RIA
Registered Investment Advisory firm - (9/26/2022 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
Arizona(12/1/2022)
RR
California(12/1/2022)
RR
Colorado(1/13/2023)
RR
Connecticut(12/1/2022)
RR
Florida(12/1/2022)
RR
Georgia(12/1/2022)
RR
Idaho(12/1/2022)
RR
Illinois(3/23/2023)
RR
Indiana(12/1/2022)
RR
Iowa(12/1/2022)
RR
Maryland(12/1/2022)
RR
Michigan(12/1/2022)
RR
Minnesota(12/6/2022)
RR
Missouri(12/1/2022)
RR
Nevada(12/1/2022)
RR
New York(12/1/2022)
RR
North Carolina(12/22/2022)
RR
North Dakota(12/1/2022)
RR
Ohio(12/1/2022)
RR
Oklahoma(3/13/2023)
RR
Pennsylvania(12/20/2022)
RR
South Carolina(12/1/2022)
RR
Tennessee(12/20/2022)
IAR
Texas(10/6/2022)
RR
Texas(2/23/2023)
RR
Utah(12/21/2022)
RR
Virginia(12/21/2022)
RR
Washington(12/1/2022)
IAR
Wisconsin(10/6/2022)
RR
Wisconsin(12/20/2022)
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
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GA
GOLDSTEIN ADVISORS, LLC
GOLDSTEIN ADVISORS, LLC
CRD#: 323125 / SEC#: 801-126612
RIA
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Contact information
Main Address
1241 John Q Hammons Dr Suite 302, Madison, WI 53717
Mailing Address
Phone number
(608) 831-3230
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,623 |
| AUM (Assets Under Management) | $ 943,408,109 |
Red Flags
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Company Information
GOLDSTEIN ADVISORS, LLC
Financial PlannerCRD#: 323125Madison, WI 53717TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
