David Aaron Goldstein

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1999 → 11/2017
  Glass Sanders Smith Miller
  Tarrytown, NY
• 08/1999 → 11/2017
  Sanders Smith Miller Jordan
  Tarrytown, NY
• 02/2000 → 11/2017
  National Planning Corp
  Tarrytown, NY
• 11/2017 → 02/2023
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 02/2023 → Present
  Cetera Wealth Services, Llc
  Brooklyn, NY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-01-29 → 2023-02-28
  American Portfolios Advisors, Inc
  Holbrook, NY

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 01/1994; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: DAVID GOLDSTEIN ASSOCIATES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE & SECURITIES DBA; START DATE: 01/1998; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: DBA FOR SECURITIES AND INSURANCE BUSINESS;

Exams

• S63 Uniform Securities Agent State Law Examination
  1993-12-03

Designations

• Certified Financial Planner

Other Names

• David Aaron Goldstein
• David A Goldstein