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James Goldstein

Axos Invest, Inc

Centennial, CO

Las Vegas, NV

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Current Employers
Axos Invest, Inc

9205 W Russell Road Suite 400, Las Vegas, NV 89148 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-10-07
  • CO RA
    APPROVED
    Since 2022-10-07

Branch Locations

7103 S Revere Parkway, Centennial, CO 80112 • United States

9205 W Russell Road Suite 400, Las Vegas, NV 89148 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oppenheimerfunds Distributor, Inc. Englewood CO 11/1999 05/2019
E*Trade Securities Llc Centennial CO 08/2019 04/2020
Unemployed Centennial CO 05/2019 08/2019
E*Trade Securities Llc Centennial CO 04/2020 08/2021
Axos Clearing Llc Centennial CO 08/2021 Present
Axos Invest, Inc Las Vegas CO 09/2022 Present
Axos Invest, Llc Las Vegas NV 01/2023 Present
  • 11/1999 → 05/2019
    Oppenheimerfunds Distributor, Inc.
    Englewood, CO
  • 08/2019 → 04/2020
    E*Trade Securities Llc
    Centennial, CO
  • 05/2019 → 08/2019
    Unemployed
    Centennial, CO
  • 04/2020 → 08/2021
    E*Trade Securities Llc
    Centennial, CO
  • 08/2021 → Present
    Axos Clearing Llc
    Centennial, CO
  • 09/2022 → Present
    Axos Invest, Inc
    Las Vegas, CO
  • 01/2023 → Present
    Axos Invest, Llc
    Las Vegas, NV
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-10-07
S63 Uniform Securities Agent State Law Examination 2003-01-03
  • S65 Uniform Investment Adviser Law Examination
    2022-10-07
  • S63 Uniform Securities Agent State Law Examination
    2003-01-03
Other Names
  • James Alan Goldstein

View on SEC IAPD

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BRIAN JAMES LOISEAU
RYAN SHANE WEEKS
RYAN ALLEN
Michael John Russo
SARA DICKSON

Other Offices

ELIASON WEALTH MANAGEMENT LLC · CENTENNIAL, CO
PLANPILOT · Centennial, CO
TRANSAMERICA FINANCIAL ADVISORS, LLC · Centennial, CO
RFG ADVISORY, LLC · Centennial, CO
RFG ADVISORY, LLC · CENTENNIAL, CO
FI401K ADVISORS · CENTENNIAL, CO
THRIVENT INVESTMENT MANAGEMENT INC. · ENGLEWOOD, CO
GENEOS WEALTH MANAGEMENT, INC. · CENTENNIAL, CO

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