Brett Ian Goldstein

Vanderbilt Advisory Services

27 Years of Experience

3 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningEstate PlanningTax PlanningHigh Net Worth

Vanderbilt Advisory Services

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

155 advisors

Number of Clients

6,466 clients

Average Client Portfolio

$251K average

Assets Under Management

$1.6B

Fee Structure

Minimum Annual Fee:$90

Location

125 Froehlich Farm Blvd., Woodbury, NY, 11797

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History

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 2010

Settled

Customer Dispute

April 2008

Settled

Customer Dispute

January 2002

Withdrawn

View Full SEC Report How to Read Disclosures

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 · 6 yrs 10 mos

Vanderbilt Advisory Services

April 2019 - Present · 6 yrs 10 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

Exams

No exam information available for this advisor.