Brett Goldstein is a registered investment advisor, based in Woodbury, NY, with 27 years of industry experience. Brett is also registered as a broker, so some compensation may come from commissions on products sold.
Location
125 Froehlich Farm Blvd., Woodbury, NY, 11797
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2010Settled
Customer Dispute
April 2008Settled
Customer Dispute
January 2002Withdrawn
Other Business Activities
Brett is an investor in a profit trust since 2020. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
Vanderbilt Securities, LLCBroker
April 2019 - Present · 7 yrs 6 mos
Vanderbilt Advisory Services
April 2019 - Present · 7 yrs 6 mos
Previous Registrations
UBS Financial Services INC.Broker
January 2009 - May 2019 · 10 yrs 4 mos
UBS Financial Services INC.
January 2009 - May 2019 · 10 yrs 4 mos
Oppenheimer & CO. INC.
July 2006 - January 2009 · 2 yrs 6 mos
Oppenheimer & CO. INC.Broker
January 2003 - January 2009 · 6 yrs
Cibc World Markets CORP.Broker
October 1998 - January 2003 · 4 yrs 3 mos
State Registrations6 states
CTFLMDNCNJNY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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