Marc M. Goldstein
Professional summary
Marc Matthew Goldstein, CFP®, CIMA® is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Las Vegas, Nevada and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Marc has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Marc Matthew Goldstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2025 - Present
SCHWAB WEALTH ADVISORY, INC.
May 9, 2022 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124April 29, 2022 - December 15, 2025
CHARLES SCHWAB & CO., INC.
August 1, 2016 - November 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 11, 2016 - November 8, 2016
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2006 - January 4, 2012
CITY NATIONAL SECURITIES, INC.
January 28, 2005 - January 27, 2006
CITICORP INVESTMENT SERVICES
September 20, 2004 - January 27, 2006
CITICORP INVESTMENT SERVICES
September 10, 2003 - June 25, 2004
J.P. MORGAN SECURITIES INC.
May 1, 2001 - February 27, 2003
J.P. MORGAN SECURITIES INC.
March 2, 1999 - May 1, 2001
JPMSI
August 26, 1997 - February 17, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 5/9/2022
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
