Daniel R. Catone

GOLDEN STATE WEALTH MANAGEMENT | CEO

South Coast Metro, CA 92707

Some features on this profile are disabled

CRD#: 4469467

Professional summary

Daniel Robert Catone is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in South Coast Metro, California and REDWOOD INVESTMENT GROUP, INC located in Fort Bragg, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Daniel has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

What are your service offerings?

Philanthropic services

Financial planning

Trust & estate planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

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.

1.2/27/12:REDWOOD INVESTMENT GROUP, INC.-InvRel-AtRepBusLoc-DBAforLPLbus. 2.1/30/14:GOLDEN STATE WEALTH MANAGEMENT, LLC-InvRel-AtRepBusLoc-RIA-IAR-Time25%-I ProvideInvestmentAdvisoryServicesThrough Golden State Wealth Management, anIndependentInvestmentAdvisorFirm. I StartedThisBusinessActivityIn June2013. I ExpectToSpendAbout 40hrs/monthOnThisActivity. PleaseSeeTheFormADV.. 3.12/1/14:REDWOOD INVESTMENT GROUP, INC.-InvRel-AtRepBusLoc-RIA-IAR-Start5/1/14-80Hrs/Mo;6HrsDurTrad-I ProvideI.A.ServicesThrough Redwood Investment Group, Inc, anIndependentI.A.Firm. I StartedThisBusinessActivityIn Sept 2014. I ExpectToSpendAbout 80hrs/mthOnThisActivity. PleaseSeeTheFormADV.. 4.6/21/15:POINTWEALTH CAPITAL MANAGEMENT-InvRel-AtRepBusLoc-DBAforLPLbus-ST6/19/15-5Hrs/MoDurTrad 5.3/2/16:Golden State Wealth Management-InvRel-AtRepBusLoc-DBAforLPLbus-ST7/1/13-200Hrs/Mo;4HrsDurTrad 6.1/23/17:Golden State Wealth Management, LLC-DBA:Golden State Asset Management-InvRel-AtRepBusLoc-RIA/DBA-Start1/12/17-I ProvideI.A.ServicesThrough Golden State Wealth Management,LLC, anIndependentI.A.Firm. I StartedThisBusinessActivityIn July 2013. I ExpectToSpendAbout 15hrs/mthOnThisActivity. PleaseSeeTheAdvisoryFirm'sFormADV. 7.10/9/18:Redwood Investment Group, Inc.-DBA:Redwood Investments-InvRel-AtRepBusLoc-RIA/DBA-IAR--St10/2/18-I ProvideI.A.ServicesThrough Redwood Investment Group Inc., anIndependentI.A.Firm. IStartedThisBusinessActivityIn June2013. I ExpectToSpendAbout 40hrs/mthOnThisActivity. PleaseSee. 8.10/16/18:Redwood Investments-InvRel-AtRepBusLoc-DBAforLPLbus-Start10/2/18-40Hrs/MoDurTrad 9.11/1/18:Golden State Wealth Management, LLC-DBA:Golden State (Hybrid)-InvRel-AtRepBusLoc-RIA/DBA-IAR-St10/30/18-I ProvideI.A.ServicesThrough Golden State Wealth Management, anIndependentI.A.Firm. I StartedThisBusinessActivityIn July 2013. I ExpectToSpendAbout 40hrs/mthOnThisActivity. PleaseSee. 10.1/8/19:Golden State Asset Management, LLC-InvRel-AtRepBusLoc-RIA/Hybrid-IAR-I ProvideI.A.ServicesThrough Golden State Asset Management, anIndependentI.A.Firm. I StartedThisBusinessActivityIn Jan2019. I ExpectToSpendAbout 40hrs/mthOnThisActivity. PleaseSee. 11.2/6/19:Golden State Equity Partners-InvRel-AtRepBusLoc-RIA--St1/1/19-40Hrs/Mo;1HrDurTrad-I ProvideI.A.ServicesThrough Golden State Equity Partners, anIndependentI.A.Firm. I StartedThisBusinessActivityIn Dec 2018. I ExpectToSpendAbout 40hrs/mthOnThisActivity. PleaseSee. 12.3/7/19:Golden State Wealth Management-DBA:Golden State-InvRel-AtRepBusLoc-DBAforLPLbus-St10/30/18-40Hrs/MoDurTrad 13.11/22/19: Golden State Insurance Services, LLC-InvRel-AtRepBusLoc-Ins.Agency-Co-Founder-St10/10/19--2Hrs/Mo;1HrDurTrading 14.10/13/20:DBA:Stella Nova-InvRel-AtRepBusLoc-RIA/DBA-ManagingMember&IAR-120Hrs/Mo;8HrsDurTrad-I provideI.A.ServicesThrough Golden State Asset Management, anIndependentI.A.Firm. I StartedThisBusinessActivity in 10/2020. I ExpectToSpendAbout 120Hrs/MthOnThisActivity. PleaseSee. 15.5/26/21-Golden State Mortgage Services-InvestRel-Laguna Niguel CA-Mortgage/Real Estate Services-St6/1/21-10 HrsPerMth/1 HrDurTrad 16.11/10/21-ACD Logistics, LLC-NotInvestRel-SacramentoCA-Business Owner-St11/5/2021-5 HrsMth/0 HrsDurSecTr 17.1/7/22-Venture Company Mining, LLC-InvRel-Powell,WY-BusOwn-ST11/10/21-1HrMth 18.1/18/22-Golden State Asset Management, LLC-WY-NotInvRel- AtRepBusLoc- BusEntityForTax/InvPurposeOnly-ST12/21/2021-10HrsMthDurTr 19.9/25/23-Built Financial, LLC-NotInvRel-AtBusLocs-St 8/28/23-5hrs/mth drng trade 20.2/20/24-Redwood Investment Group, Inc DBA Arimathea Corp-InvRel-AtRepBusLoc-RIA DBA-IAR-St3/1/24-5Hr/MoDurTrad 21.4/1/24-Arimathea-RIAHybrid-IAR-INVREL-AtREPBus-Start1/23/24-10hrsmth/2hrsdurtrad-I provide investment advisory services through Arimathea, an independent investment advisor firm. I started this business activity in 4/2024. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV. 22. 10/1 - LeadBaller, NotInvRel-AtBusLocs-St 10/1/2024 2hrs/mth drng trade

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Robert Catone's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

CRD#: 299649

SANTA ANA, CA

Past

July 26, 2016 - December 23, 2016

LPL FINANCIAL LLC

RIA

CRD#: 11025

FORT BRAGG, CA

Past

January 1, 2002 - June 14, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD#: 167995 / SEC#: 801-107445

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

California

Registered Investment Advisory firm - (4/28/2016 Terminated)

Washington

Registered Investment Advisory firm - (4/29/2016 Terminated)

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).

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
(8/7/2013)

IAR

Texas
(12/6/2021)

IAR

Texas
(2/26/2024)

IAR

Wyoming
(9/29/2022)

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

IAR

Series 66

Date: 3/17/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/26/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/3/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 5/19/2011

General Securities Sales Supervisor - General Module Examination

Current Firm

GOLDEN STATE WEALTH MANAGEMENT, LLC

CRD#: 167995 / SEC#: 801-107445

RIA

Registered Investment Advisory firm - (3/21/2016 Approved)

California

Registered Investment Advisory firm - (4/28/2016 Terminated)

Washington

Registered Investment Advisory firm - (4/29/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707

Mailing Address

Phone number

(866) 273-1563

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GSWM 2A FIRM BROCHURE (5/12/2025)

GOLDEN STATE WEALTH MANAGEMENT WRAP FEE PROGRAM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,434
AUM (Assets Under Management)	$ 1,835,285,996

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel R. Catone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Robert Catone's CRS (Customer Relationship Summary).

Certified licenses

Experience

REDWOOD INVESTMENT GROUP, INC

ASCENTIS ASSET MANAGEMENT, LLC

GOLDEN STATE EQUITY PARTNERS, LLC

ARIMATHEA

GOLDEN STATE ASSET MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

EDWARD JONES

Primary Firm SEC Registration

GOLDEN STATE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2006

Series 63

Date: 12/30/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/26/2001

Series 9

Date: 8/3/2011

Series 10

Date: 5/19/2011

Current Firm

GOLDEN STATE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDEN STATE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors