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GG

Gene F. Goldman

CETERA INVESTMENT MANAGEMENT LLC
EL SEGUNDO, CA 90245
Some features on this profile are disabled
CRD#: 2630667
GG

Professional summary

Gene Fitzgerald Goldman, who also goes by Gene F Goldman, is a registered financial advisor currently at CETERA INVESTMENT MANAGEMENT LLC located in El Segundo, California and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Gene has worked at 6 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gene F 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.
(1) NAME OF OTHER BUSINESS: 1212 OCEAN PARK HOA; INVESTMENT RELATED: NO; ADDRESS: 11030 SANTA MONICA BLVD SUITE 100 LOS ANGELES CA 90025; NATURE OF BUSINESS: HOMEOWNER ASSOCIATION; START DATE: 1/2021; POSITION/TITLE/RELATIONSHIP: MEMBER AT LARGE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: HELP LEADERSHIP MANAGE CONDO UNITS;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Fitzgerald 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®
None

Experience

Current

July 10, 2015 - Present

CETERA INVESTMENT MANAGEMENT LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
RIA
CRD#: 165436
EL SEGUNDO, CA
Current

September 2, 2011 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
El Segundo, CA
Current

September 21, 2011 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 15340
El Segundo, CA
Current

September 21, 2011 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 10299
El Segundo, CA
Past

March 20, 1996 - August 19, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA
Past

July 26, 1995 - February 8, 1996

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY

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".
CI
CETERA INVESTMENT MANAGEMENT LLC
CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA
Registered Investment Advisory firm - (1/3/2013 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
(9/2/2011)
IAR
California
(7/10/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/21/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/25/1995
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT MANAGEMENT LLC
CETERA INVESTMENT MANAGEMENT LLC | TOWER SQUARE INVESTMENT MANAGEMENT LLC

CRD#: 165436 / SEC#: 801-77403

RIA
Registered Investment Advisory firm - (1/3/2013 Approved)
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Contact information

Main Address
1450 American Lane Suite 650, Schamburg, IL 60173
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (2 States and Territories)

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Documents

Latest Form ADV

Part 2 Brochures

CETERA INVESTMENT MANAGEMENT LLC ADV PART 2A AND 2B (3/28/2025)

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.

Company Information

CETERA INVESTMENT MANAGEMENT LLC

CRD#: 165436El Segundo, CA 90245

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