Ian C. Goldey

GOTO FINANCIAL

CALABASAS, CA 91302

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CRD#: 2745012

Professional summary

Ian Craig Goldey is a registered financial advisor currently at GOTO FINANCIAL located in Calabasas, California.

Ian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Ian has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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 Toolbox; investment related : No; 4768 Park Granada #108, Calabasas, CA, USA, 91302; Custom software for financial goal planning; Owner; Outline ideas to present programmers to create a custom software for our clients and others; 017-08-23; Hours devoted to business during trading hours : 10; Hours devoted to business outside trading hours : 20. Insurance Business; investment related : Yes; 4768 Park Granada #108, Calabasas, CA, USA, 91302; Description of the business : selling non-commission insurance products, selling insurance products Term and Whole Life; Advisor; financial advice to individuals; 2009-08-20; Percentage of total yearly compensation expected to be derived from the business : 1.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Craig Goldey'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

January 7, 2011 - Present

GOTO FINANCIAL

Office #1: 4768 Park Granada, #108, Calabasas, CA 91302

RIA

CRD#: 155948

CALABASAS, CA

Past

January 17, 2003 - January 12, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ENCINO, CA

Past

January 17, 2003 - January 12, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ENCINO, CA

Past

July 8, 1997 - January 30, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SHERMAN OAKS, CA

Past

July 17, 1996 - January 30, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(1/7/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/29/1996

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/23/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1996

General Securities Representative Examination

Current Firm

GOTO FINANCIAL

CRD#: 155948 / SEC#: 801-72051

RIA

Registered Investment Advisory firm - (6/29/2012 Terminated)

California

Registered Investment Advisory firm - (6/26/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Westlake Village, CA

Mailing Address

9452 Telephone Rd 224, Ventura, CA 93004

Phone number

(818) 835-9053

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 59,015,000

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.

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Ian C. Goldey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ian Craig Goldey's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOTO FINANCIAL

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1996

Series 65

Date: 7/23/1996

Series 7

Date: 7/16/1996

Current Firm

GOTO FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GOTO FINANCIAL

TRUST BUT VERIFY

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