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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Goldstein is a financial advisor currently employed with RBC Capital Markets, LLC in Century City, CA. Jeffrey has been working in the financial industry since October 4, 2000. Jeffrey is registered with FINRA and holds the Series 3, 7, and 66 licenses, along with the SIE. Jeffrey has a long history with several financial institutions including HSBC Securities (USA) Inc., DWS Investments Distributors, Inc, BNP Paribas Securities Corp, ABN AMRO Incorporated, Bear, Stearns & Co. Inc. and Trautman Wasserman & Company, Inc. In addition to the registered licenses, Jeffrey is also registered with the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
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
01/21/2015 - Present
RBC Capital Markets, LLC (Century City CA)
NY
08/11/2011 - 12/09/2014
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
08/07/2007 - 08/08/2011
DWS INVESTMENTS DISTRIBUTORS, INC (NEW YORK NY)
NY
09/29/2006 - 08/01/2007
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
10/11/2005 - 09/28/2006
ABN AMRO INCORPORATED (NEW YORK NY)
NY
10/04/2002 - 10/10/2005
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
06/12/2000 - 07/30/2002
TRAUTMAN WASSERMAN & COMPANY, INC. (NEW YORK NY)
BOTH
Issued 02/10/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/26/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2008
Series 3 - National Commodity Futures Examination
BC
Issued 06/09/2000
Series 7 - General Securities 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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