Stuart H. Goldstein

MOELIS & COMPANY LLC

Los Angeles, CA 90067

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CRD#: 2935550

Professional summary

Stuart Howard Goldstein is a registered financial professional currently at MOELIS & COMPANY LLC located in Los Angeles, California.

Stuart is registered as a RR (Registered Representative) and started their career in finance in 1997. Stuart has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stuart Howard Goldstein's CRS (Customer Relationship Summary).

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

June 1, 2009 - Present

MOELIS & COMPANY LLC

Office #1: 10100 Santa Monica Blvd Suite 1600, Los Angeles, CA 90067

CRD#: 145115

Los Angeles, CA

Past

November 29, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 20, 1997 - May 29, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

PALO ALTO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/1/2009)

Exams

State Security Law Exam

Series 63

Date: 9/20/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MOELIS & COMPANY LLC

MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

399 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

399 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 883-3800

Established

Delaware since 06/12/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOELIS & COMPANY GROUP LP	PARENT COMPANY
CALLESANO, CHRIS PETER	CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	4889259
MAHMOODZADEGAN, NAVID ALI	CHIEF EXECUTIVE OFFICER	2609804
MOELIS, KENNETH DAVID	EXECUTIVE CHAIRMAN	1015047
PILCHER CIAFONE, KATHERINE CELY	CHIEF OPERATING OFFICER	4573006
RAICH, JEFFREY ALAN	EXECUTIVE VICE CHAIRMAN	2016620
WATANABE, OSAMU RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	2875185

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Stuart H. Goldstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stuart Howard Goldstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2002

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1997

Series 24

Date: 3/23/2006

FINRA

Current Firm

MOELIS & COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MOELIS & COMPANY LLC

TRUST BUT VERIFY

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