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Lawrence Goldstein

Cetera Investment Advisers LLC
27 Years of Experience
Los Angeles, CA
10 DisclosuresBroker
View SEC Summary
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Lawrence Goldstein is a registered investment advisor at Cetera Investment Advisers LLC, based in Los Angeles, CA, with 27 years of industry experience. Lawrence is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

11900 Olympic Blvd Ste 780, Los Angeles, CA, 90064

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History

Regulatory History (10)
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Customer Dispute
August 2019
Award / Judgment
Customer Dispute
June 2016
Withdrawn
Regulatory
April 2011
Final
Regulatory
January 2011
Final
Customer Dispute
April 2009
Denied
Customer Dispute
November 2008
Settled
Customer Dispute
August 2008
Settled
Customer Dispute
January 2008
Settled
Customer Dispute
March 2007
Settled
Customer Dispute
June 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Lawrence is the owner of Goldstein Financial and a partner at Brentwood Financial Advisors, both financial services businesses, dedicating full-time hours to each. He is also a co-trustee of the Goldstein Family Trust, owns rental real estate, serves on the finance committee for a non-profit, and owns real estate through Brentwood Financial Advisors.

Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2023 - Present · 3 yrs 4 mos
Cetera Wealth Services, LLC
June 2019 - Present · 7 yrs 4 mos
Cetera Wealth Services, LLCBroker
June 2019 - Present · 7 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
June 2019 - June 2023 · 4 yrs
Oppenheimer & CO. INC.
November 2007 - June 2019 · 11 yrs 7 mos
Oppenheimer Asset Management
April 2003 - November 2007 · 4 yrs 7 mos
Oppenheimer & CO. INC.Broker
January 2003 - June 2019 · 16 yrs 5 mos
Fahnestock Asset Management
January 2003 - April 2003 · 3 mos
Cibc World Markets CORP.
March 2001 - January 2003 · 1 yr 10 mos
Cibc World Markets CORP.Broker
February 2001 - January 2003 · 1 yr 11 mos
Painewebber IncorporatedBroker
June 1999 - February 2001 · 1 yr 8 mos
State Registrations21 states
ALAZCACOCTFLGAIALAMDMIMNNCNMNVNYOHPATNTXWA
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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