Lawrence Ira 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

• 01/2003 → 06/2019
  Fahnestock & Co. Inc.
  New York, NY
• 04/2003 → 06/2019
  Oppenheimer Asset Management Inc.
  New York, NY
• 06/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2019 → Present
  Goldstein Financial
  Los Angeles, CA
• 06/2019 → Present
  Brentwood Financial Advisors
  Los Angeles, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2003-01-03 → 2019-06-14
  Oppenheimer & Co. Inc.
  Los Angeles, CA
  Los Angeles, CA
• 2003-04-15 → 2007-11-12
  Oppenheimer Asset Management
  New York, NY
• 2001-03-02 → 2003-01-03
  Cibc World Markets Corp.
  New York, NY

Other Businesses

(1) NAME OF OTHER BUSINESS: GOLDSTEIN FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/19 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER (2) NAME OF OTHER BUSINESS: GOLDSTEIN FAMILY TRUST INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FAMILY TRUST START DATE: 7/1993 POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: CO-TRUSTEE WITH SPOUSE (3) NAME OF OTHER BUSINESS: BRENTWOOD FINANCIAL ADVISORS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 6/19 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PARTNER (4) NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ; ADDRESS: ASPEN CO 81611 NATURE OF BUSINESS: REAL ESTATE ; START DATE: 10/2021 POSITION/TITLE/RELATIONSHIP: OWNER / LANDLORD APX NUMBER OF HOURS PER WEEK: 2-3 APX NUMBER OF HOURS DURING TRADING HOURS: 2-3 BRIEF DESCRIPTION OF DUTIES: RENTAL PROPERTY; (5) NAME OF OTHER BUSINESS: SOUTHERN CALIFORNIA PROFESSIONAL GOLFERS ASSCO., INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NON-PROFIT, START DATE:01/2025, POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: PROVIDES SUPPORT FOR THE ACTIVITIES AND TOURNAMENTS OF THE SCPGA; (6) NAME OF OTHER BUSINESS: BRENTWOOD FINANCIAL ADVISORS, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: REAL ESTATE, START DATE:01/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: SUBLETTING AN UNUSED OFFICE IN SUITE TO AN UNRELATED PERSON;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-07
• S63 Uniform Securities Agent State Law Examination
  1999-06-22

Other Names

• Larry Goldstein