LG
Lawrence I. Goldstein
CETERA INVESTMENT ADVISERS LLC
ASPEN, CO 81611
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CRD#: 3223787
LG
Professional summary
Lawrence Ira Goldstein, who also goes by Larry Goldstein, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Aspen, Colorado and CETERA WEALTH SERVICES, LLC located in Los Angeles, California.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Lawrence has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Goldstein
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: GOLDSTEIN FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/19 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER (2) NAME OF OTHER BUSINESS: GOLDSTEIN FAMILY TRUST INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FAMILY TRUST START DATE: 7/1993 POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: CO-TRUSTEE WITH SPOUSE (3) NAME OF OTHER BUSINESS: BRENTWOOD FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/19 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PARTNER (4) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ; ADDRESS: ASPEN CO 81611 NATURE OF BUSINESS: REAL ESTATE ; START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: OWNER / LANDLORD APX NUMBER OF HOURS PER WEEK: 2-3 APX NUMBER OF HOURS DURING TRADING HOURS: 2-3 BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY; (5) NAME OF OTHER BUSINESS: SOUTHERN CALIFORNIA PROFESSIONAL GOLFERS ASSCO., INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NON-PROFIT, START DATE:01/2025, POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: PROVIDES SUPPORT FOR THE ACTIVITIES AND TOURNAMENTS OF THE SCPGA; (6) NAME OF OTHER BUSINESS: BRENTWOOD FINANCIAL ADVISORS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE:01/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: SUBLETTING AN UNUSED OFFICE IN SUITE TO AN UNRELATED PERSON;
CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Ira Goldstein'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 614 E Cooper Ave, Aspen, CO 81611Office #2: 11726 San Vicente Blvd Ste 235, Los Angeles, CA 90049RIA
CRD#: 105644
ASPEN, CO
Current
June 8, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 11726 San Vicente Blvd Ste 235, Los Angeles, CA 90049BD
CRD#: 13572
Los Angeles, CA
Past
June 10, 2019 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BOCA RATON, FL
Past
November 7, 2007 - June 14, 2019
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
LOS ANGELES, CA
Past
April 15, 2003 - November 12, 2007
OPPENHEIMER ASSET MANAGEMENT
RIA
CRD#: 105559
NEW YORK, NY
Past
January 3, 2003 - April 15, 2003
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
LOS ANGELES, CA
Past
January 3, 2003 - June 14, 2019
OPPENHEIMER & CO. INC.
BD
CRD#: 249
LOS ANGELES, CA
Past
March 2, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
RIA
CRD#: 630
NEW YORK, NY
Past
February 13, 2001 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
June 15, 1999 - February 27, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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 ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alabama(6/13/2019)
RR
Arizona(2/1/2021)
RR
California(6/11/2019)
IAR
California(6/29/2023)
RR
Colorado(8/1/2019)
IAR
Colorado(6/29/2023)
RR
Connecticut(6/12/2019)
RR
Florida(6/10/2019)
RR
Georgia(6/10/2019)
RR
Iowa(6/12/2019)
RR
Louisiana(6/17/2019)
RR
Maryland(6/13/2019)
RR
Michigan(6/17/2019)
RR
Minnesota(7/11/2019)
RR
Nevada(6/18/2019)
RR
New Mexico(6/14/2019)
RR
New York(6/19/2019)
RR
North Carolina(6/18/2019)
RR
Ohio(2/16/2023)
RR
Pennsylvania(6/19/2019)
RR
Tennessee(8/7/2019)
RR
Texas(6/10/2019)
IAR
Texas(6/29/2023)
RR
Washington(6/19/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
