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JAMES MATTHEW GOLD

JAMES M. GOLD

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CRD#: 2642863
JAMES MATTHEW GOLD

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.

JAMES MATTHEW GOLD was a registered financial professional .

JAMES is a previously registered financial professional and started their career in finance in 1995. JAMES had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Biography

Jim Gold serves as CEO, is a Founding Partner, a Board Member, and a member of the Executive leadership team at Steward Partners Global Advisory. He has extensive experience in the financial services industry, having held several senior-level roles. Mr. Gold spent 18 years with Smith Barney, and successor firms, beginning in 1995 as a Financial Advisor. He went on to hold numerous management positions at the firm, including National Training Officer, Assistant Branch Manager, Branch Manager, and Complex Manager. Mr. Gold received numerous accolades from the firm during his tenure. Mr. Gold supports numerous charitable organizations including: The American Heart Association, St. Jude’s Children’s Hospital, The Pan Mass Challenge, The Wounded Warrior Project, Wreaths Across America, The ASPCA, and The World Wildlife Fund. Mr. Gold attended Stonehill College. He currently lives in Northport, NY. He and his wife Elizabeth have four children Will, Conor, Kiera and Braedon, a daughter in law Annie Gold and their first Grandchild Liam!
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.
1. STEWARD PARTNERS CONSULTING SOLUTIONS, NEW YORK, NY, BUSINESS OWNER, INVESTMENT RELATED, 09/2013, 0 HRS PER MONTH, 0 HRS DURING TRADING, 2. STEWARD PARTNERS HOLDINGS , NEW YORK, NY, BUSINESS OWNER/DIRECTOR, 09/2013-PRESENT, INVESTMENT RELATED, 200 HRS PER MONTH, 200 HRS DURING TRADING,

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

May 27, 2022 - December 31, 2023

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 1254
NEW YORK, NY
Past

May 2, 2016 - December 31, 2023

STEWARD PARTNERS INVESTMENT ADVISORY, LLC

RIA
CRD#: 283004
NEW YORK, NY
Past

October 25, 2013 - December 8, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
WASHINGTON, DC
Past

September 19, 2013 - May 27, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
WASHINGTON, DC
Past

May 19, 2011 - May 16, 2013

MORGAN STANLEY

RIA
CRD#: 149777
WESTPORT, CT
Past

June 1, 2009 - May 16, 2013

MORGAN STANLEY

BD
CRD#: 149777
WESTPORT, CT
Past

September 12, 1995 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
DANVERS, MA

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
IAR
Series 65
Date: 10/2/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/1995
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 3
Date: 6/20/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/5/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/5/2001
General Securities Sales Supervisor - Options Module Examination

Current Firm

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
BLAKELY, STRAND & WILLIAMS, INC. | VALENCIA GROUP | UMPQUA WEALTH ADVISORY | UMPQUA INVESTMENTS, INC. | STRAND, ATKINSON, WILLIAMS & YORK, INC. | STRAND, ATKINSON, WILLIAMS & YORK INC. | STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC | STEWARD PARTNERS GLOBAL ADVISORY, LLC | MILLER FORSYTH GROUP | LINDSEY GROUP | H.L. WIGINTON CAPITAL | GERGEN WEALTH MANAGEMENT | ENSIGN WEALTH PARTNERS

CRD#: 1254 / SEC#: 801-67179, 8-2915

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Mailing Address
15495 Sw Sequoia Parkway Suite 150, Portland, OR 97224
Phone number
(971) 353-7800
Established
Delaware since 04/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
524

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

STEWARD PARTNERS INVESTMENT SOLUTIONS PART 2A (5/22/2024)
FORM ADV PART 2A APPENDIX 1B - FCC (3/28/2024)
FORM ADV PART 2A APPENDIX 1A - PERSHING & FOLIO (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
STEWARD PARTNERS HOLDINGS, LLCOWNER
ACHKIRE, DEBRA VOLLANDCOUNSEL4898647
FABER, JOSEPH SCHIEF FINANCIAL OFFICER4834049
GULDNER, ROBERT JOHNCHIEF COMPLIANCE OFFICER2283980
MARTINEZ, ROBERTO ANTONIOAML OFFICER2991605
WINTERBOURNE, JEANI THERESAPRESIDENT1075564

Regulatory assets under management

Total Number of Accounts2,712
AUM (Assets Under Management)$ 990,880,713

Disclosures

Regulatory Event13
Arbitration1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
07/28/2023
Cover Page
Report

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

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC

CEO, Co-Founder at Steward Partners Global Advisory-Managing PartnerCRD#: 1254

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