SG
Sara A. Goldstein
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CRD#: 5643034
SG
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sara Ann Goldstein, who also goes by Sara Ann Hansen, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2009. Sara had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sara Ann Hansen
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.
**NORTHERN BAY RETREAT, LLC -owner -Rental Real Estate -2/15/13 -2501 Parmenter St Ste 100A, Middleton WI 53562 -Owner - Rental Real Estate **GOLDSTEIN INDEMNITY, LLC -owner -Employee Benefits holding -5/30/14 -2501 Parmenter St Ste 100A, Middleton WI 53562 -Owner **BY THE BAY, LLC -owner -Rental Real Estate -11/11/14 -2501 Parmenter St Ste 100A, Middleton WI 53562 -I own it **ARBOR POINT ADVISORS -paraplanner -Advisory INVEST RELATED Yes #HRS 160 SEC TRADE HRS 160 -10/11/19 -2501 Parmenter St Ste 100A, Middleton WI 53562 -paraplanner **GOLDSTEIN PROPERTIES, LLC -owner -Property Managment -5/1/12 -2501 Parmenter St Ste 100A, Middleton WI 53562 -Owner **TRIBECCA CAPITAL DEVELOPMENT, LLC -owner -With respect to Tribeca Capital Development, it is an LLC that own's Sara and Jon's 20% interest in some land located in Middleton (near our office but it's a separate investment). Sara and Jon own 100% of Tribeca Capital Development, LLC but theLLC owns 20% of the land in question. There are 4 other owners in the land (Brad Duesler, Brad Hutter, Gary Schmerler, and Taylor Mehlhaff). The land is owned for speculative purposes, hoping that the land can either be developed or sold off in pieces for a profit. This is a personal investment for Sara and Jon using personal funds. -9/1/18 -2501 Parmenter St Ste 100A, Middleton WI 53562 -With respect to Tribeca Capital Development, it is an LLC that own's Sara and Jon's 20% interest in some land located in Middleton (near our office but it's a separate investment). Sara and Jon (her husband) own 100% of Tribeca Capital Development, LLC but the LLC owns 20% of the land in question. There are 4 other owners in the land (Brad Duesler, Brad Hutter, Gary Schmerler, and Taylor Mehlhaff). The land is owned for speculative purposes, hoping that the land can either be developed or sold off in pieces for a profit. This is a personal investment for Sara and Jon using personal funds. **VOYOS DEVELOPMENT GROUP, LLC -owner -Management Company for financial advisory practice -2/3/10 -2501 Parmenter St Ste 100A, Middleton WI 53562 -This is a separate legal entity that provides for office space, staffing, equipment, etc for my financial advisory practice.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 10, 2019 - December 1, 2022
ARBOR POINT ADVISORS
RIA
CRD#: 165127
MIDDLETON, WI
Past
October 10, 2019 - December 1, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MIDDLETON, WI
Past
June 9, 2009 - October 17, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Middleton, WI
Past
March 31, 2009 - October 17, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Middleton, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AP
ARBOR POINT ADVISORS
2020 WEALTH MANAGEMENT GROUP | WOOLFREY FINANCIAL CONSULTING | WISE RETIREMENT STRATEGIES 100 | WEALTHMINT | WARNKE FINANCIAL SERVICES | WALL FINANCIAL | VIAQUEST FINANCIAL GROUP | TRUE ALTITUDE WEALTH MANAGEMENT | TRIDEA ADVISORS | THE O`HAGAN GROUP | THE HART GROUP | TETRALOGY FINANCIAL PLANNING GROUP | SYNTEGRA PRIVATE WEALTH GROUP | SYKTICH FINANCIAL, LLC | SUMNER FINANCIAL | STRICKLER AND MOORMEIER | STORM FISCHER INVESTMENT GROUP | SLADKO ASSET MANAGEMENT | SECURE FINANCIAL CORP | SCOUT ASSET MANAGEMENT | SCHROEDER WEALTH ADVISORS | SABRE FINANCIAL SERVICES | RIVER ROCK WEALTH ADVISORY | RED CEDAR WEALTH ADVISORS | RED CEDAR WEALTH | RD FINANCIAL | QUANTUM PARTNERS, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PREMIER WEALTH MANAGEMENT GROUP | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PADDEN FINANCIAL SERVICES | ONMARK ASSET MANAGEMENT | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NIEMI FINANCIAL SERVICES | MICHIGAN 4N/A1K COUNSULTANTS | MFR | MAYBURY FINANCIAL | MA FINANCIAL PLANNING | LION FINANCIAL ADVISORS | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LARSON FINANCIAL SERVICES | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL/LEGAL | KOLEY FINANCIAL / LEGAL | KOLEY FINANCIAL | KOENIG FINANCIAL GROUP | KIRKLAND FINANCIAL ADVISERS | KIMBLER FINANCIAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | JMS FINANCIAL SOLUTIONS LLC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERITAGE PRIVATE WEALTH MANAGEMENT | HARBOR FINANCIAL ADVISORS | GUGGER ASSET MANAGEMENT | GOTTIER INVESTMENTS | GOLDSTEIN ADVISORS | GOLDSTEIN & ASSOCIATES | GLEASON FINANCIAL GROUP | GEORGE W. HOOK III FINANCIAL SERVICES | GAULDEN WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | GALBRAITH FINANCIAL SERVICES | FULL CIRCLE WEALTH MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FINANCIAL SOLUTIONS | FARRELL FINANCIAL | ETON FINANCIAL SERVICES | EMERALD CITY FIDUCIARY GROUP | ECHELON GROUP | DWIGHT O'HARA INVESTMENT SERVICES | DOSS ASSET ADVISORS | DIAMONDBACK FINANCIAL SERVICES, LLC | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | CVACH FINANCIAL SERVICES | CTM FINANCIAL GROUP, LLC | CTM FINANCIAL GROUP | CREATIVE FINANCIAL PARTNERS | CORINTHIAN WEALTH MANAGEMENT | COPIA WEALTH MANAGEMENT | COMMONWEALTH FINANCIAL SERVICES | COLLIER SUSTAINABLE WEALTH MANAGEMENT | CITY FIDUCIARY GROUP | CAPITAL INCOME ADVISORS | CAPITAL & BUSINESS PLANNING | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BLAKE GALLION, CFP | BELLEAIR FINANCIAL SERVICES | BASECAMP INVESTMENTS | BAIKIE AND ALCANTARA | ARNOLD FINANCIAL SERVICES | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARBOR POINT ADVISORS, LLC | ARBOR POINT ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AILERON WEALTH MANAGEMENT | AFG FINANCIAL | AEON WEALTH MANAGEMENT | AB WEALTH MANAGEMENT | A. GAINES FINANCIAL
CRD#: 165127 / SEC#: 801-77135
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Contact information
Main Address
12325 Port Grace Blvd., Lavista, NE 68128
Mailing Address
Phone number
(888) 777-1992
Established
Firm type
Fiscal year end
# of Employees
2,643
Regulatory assets under management
| Total Number of Accounts | 28,010 |
| AUM (Assets Under Management) | $ 6,929,575,682 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
