Alan Edward Goldstein

Current Employers

Employment History

• 12/2008 → 10/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Rolling Hills Estates, CA
• 09/2009 → 10/2017
  Bank Of America,Na
  Rolling Hills Estate, CA
• 10/2017 → Present
  Rbc Capital Markets, Llc
  Rolling Hills, CA
• 11/2017 → Present
  City National Bank
  Rolling Hills, CA

Previous Registrations

• 2008-12-12 → 2017-10-31
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rolling Hills Estates, CA
• 1997-07-08 → 2008-12-18
  Citigroup Global Markets Inc.
  Rolling Hills Estates, CA
  Rolling Hills, CA

Other Businesses

(1) PVG FOUNDATION; ADDRESS: PERSONAL ADDRESS; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 12/01/2017; CAPACITY: REPRESENTATIVE; DUTIES: EVENT COORDINATION; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: NONE (2) TORRANCE MEMORIAL MEDICAL CENTER HEALTH CARE FOUNDATION; ADDRESS: 3330 LOMITA BLVD TORRANCE, CA 90505; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: THE PURPOSE IS TO RAISE FUNDS TO SUPPORT THE TORRANCE MEMEORIAL MEDICAL CENTER; CAPACITY: BOARD OF DIRECTORS; START DATE: 05/03/2019; DUTIES: ARRANGE FOR INTRODUCTION TO INITIATE THE RELATIONSHIP OF NEW DONORS TO THE FOUNDATION FOR THE BENEFIT OF THE MEDICAL CENTER; HOURS DEVOTED PER MONTH: 01; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 00;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-23
• S63 Uniform Securities Agent State Law Examination
  1999-09-15