RG
Richard B. Goldstein
B. RILEY WEALTH ADVISORS
LIVERMORE, CA 94550
Some features on this profile are disabled
CRD#: 851676
RG
Professional summary
Richard Bruce Goldstein is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in Livermore, California and B. RILEY WEALTH MANAGEMENT located in Livermore, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Richard has worked at 17 firms and has passed the Series 65, Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
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) B. RILEY WEALTH INSURANCE CORPORATION; INVESTMENT-RELATED; INSURANCE PLUS VARIABLE CONTRACT; SAME ADDRESS AS BRWM; INSURANCE,AGENT; START DATE 06/2013; 1-2 HRS/MONTH, 0 DURING TRADING HOURS; PROVIDE SALES AND MARKETING SERVICE... (2) ROTARIAN FOUNDATION OF LIVERMORE; NOT INVESTMENT-RELATED; 164 NORTH L STREET LIVERMORE, CA 94550; FOUNDATION ENDOWMENT, MEMBER/INVESTMENT COMMITTEE; START DATE: 12/2014; 2-3 HRS/MONTH, DURING TRADING HOURS; ATTEND QUARTERLY MEETING, REVIEW INVESTMENTS... (3) ROTARY CLUB OF LIVERMORE VALLEY; NOT INVESTMENT-RELATED; 164 NORTH L STREET LIVERMORE, CA 94550; NON PROFIT ORG, DIRECTOR; START DATE: 2016-2017; 2-3 HRS/MONTH, DURING TRADING HOURS... (4) SIERRA VIEW PISTACHIO FARMS; INVESTMENT-RELATED; MANAGING PISTACHIO ORCHARD FARM; PASSIVE INVESTOR; 0 HRS/MONTH... (5) AMBASSADORS OF COMPASSION; NOT INVESTMENT-RELATED; LEGACY LEADER; 2562 OSO PARKWAY STE D-132 RANCHO SANTA MARGARITA, CA; 2-3 HRS/MONTH , DURING TRADING HOURS; HELP FACILITATE A SPECIAL PARTNERSHIP WITH ROTARY TO ASSIST IN BRINGING THEIR PROGRAM TO THE COMMUNITY SCHOOL SYSTEM.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Bruce 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
May 25, 2012 - Present
B. RILEY WEALTH ADVISORS, INC.
Office #1: 2300 First Street #336k, Livermore, CA 94550RIA
CRD#: 115927
LIVERMORE, CA
Current
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 2300 First Street #336, Livermore, CA 94550BD
CRD#: 2543
Livermore, CA
Past
October 16, 2014 - March 3, 2017
LEGEND MERCHANT GROUP, INC.
RIA
CRD#: 5155
SAN FRANCISCO, CA
Past
April 27, 2012 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
LIVERMORE, CA
Past
April 9, 2012 - April 20, 2012
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ORLANDO, FL
Past
April 9, 2012 - April 20, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
ORLANDO, FL
Past
July 26, 2011 - May 10, 2012
LEGEND MERCHANT GROUP, INC.
RIA
CRD#: 5155
SAN FRANCISCO, CA
Past
July 26, 2011 - May 10, 2012
LEGEND MERCHANT GROUP, INC.
BD
CRD#: 5155
SAN FRANCISCO, CA
Past
September 2, 2010 - August 1, 2011
ANDERSON & STRUDWICK, INCORPORATED
RIA
CRD#: 48
SAN FRANCISCO, CA
Past
July 8, 2010 - August 1, 2011
ANDERSON & STRUDWICK, INCORPORATED
BD
CRD#: 48
SAN FRANCISCO, CA
Past
July 31, 2009 - July 14, 2010
JESUP & LAMONT SECURITIES CORP
RIA
CRD#: 39056
SAN FRANCISCO, CA
Past
July 31, 2009 - July 14, 2010
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
SAN FRANCISCO, CA
Past
March 31, 2007 - August 10, 2009
GLOBAL CROWN CAPITAL, LLC
BD
CRD#: 16761
SAN FRANCISCO, CA
Past
October 10, 2006 - August 2, 2007
MOORS & CABOT INC
RIA
CRD#: 110869
BOSTON, MA
Past
June 3, 2003 - April 2, 2007
MOORS & CABOT, INC.
BD
CRD#: 594
SAN FRANCISCO, CA
Past
February 22, 2001 - June 3, 2003
TRAUTMAN WASSERMAN & COMPANY, INC.
BD
CRD#: 33007
NEW YORK, NY
Past
August 28, 1997 - February 22, 2001
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
Past
May 28, 1991 - August 29, 1997
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 6, 1982 - May 28, 1991
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 23, 1978 - July 19, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
May 1, 1978 - October 18, 1978
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)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
Arizona(7/22/2022)
IAR
California(5/25/2012)
RR
California(7/22/2022)
RR
Colorado(7/22/2022)
RR
Florida(7/22/2022)
RR
Georgia(7/22/2022)
RR
Idaho(7/22/2022)
RR
Illinois(7/22/2022)
RR
Kansas(7/22/2022)
RR
Michigan(7/2/2024)
RR
Minnesota(7/22/2022)
RR
Nevada(7/22/2022)
RR
New Jersey(7/22/2022)
RR
New York(7/22/2022)
RR
Oregon(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
Rhode Island(7/22/2022)
RR
South Carolina(7/22/2022)
IAR
Texas(10/21/2021)
RR
Texas(7/22/2022)
RR
Utah(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
RR
Wisconsin(7/22/2022)
RR
Wyoming(7/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
Company Information
B. RILEY WEALTH ADVISORS, INC.
CRD#: 115927Livermore, CA 94550TRUST BUT VERIFY
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