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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Goldstein is a financial advisor with over 50 years of experience in the industry. Alan has been registered with RBC Capital Markets, LLC since October 2017. Previously, Alan has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Alan has a wide range of experience in the industry and holds several licenses and certifications. Alan is committed to providing his clients with personalized financial advice and guidance. Alan is a member of the Board of Directors for Torrance Memorial Medical Center Health Care Foundation, which supports the Torrance Memorial Medical Center. Alan's primary focus is on providing financial advice to high-net-worth individuals, corporations, and other businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
10/27/2017 - Present
RBC Capital Markets, LLC (Rolling Hills CA)
CA
12/11/2008 - 10/31/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROLLING HILLS ESTATES CA)
CA
07/31/1993 - 12/18/2008
CITIGROUP GLOBAL MARKETS INC. (ROLLING HILLS CA)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
12/20/1967 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 11/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/09/1980
Series 24 - General Securities Principal Examination
BC
Issued 08/24/1978
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 12/18/1967
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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