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Barry Alan Goldstein

Investment Adviser Representative at AEGIS CAPITAL CORP.

Melville, NYCRD #3083904Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
22 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Barry Alan Goldstein has worked in the securities industry since 2000. They are registered to provide investment advisory services in 22 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 22 states
ColoradoConnecticutDelawareFloridaIdahoIllinoisIndianaIowaMassachusettsMichiganMinnesotaNevadaNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaTexasUtahVermontWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/12/2023
Series 63
Uniform Securities Agent State Law Examination
Passed 11/24/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/10/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $250,000 (client pays transaction costs)2.50%
Next $750,000 (client pays transaction costs)2.25%
Over $1,000,000 (client pays transaction costs)2.00%
First $250,000 (adviser pays transaction costs)3.00%
Next $750,000 (adviser pays transaction costs)2.75%
Over $1,000,000 (adviser pays transaction costs)2.50%
Source

Aegis Capital Corp. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

AEGIS CAPITAL CORP.Current
6/13/2023Melville, NY
GUNNALLEN FINANCIAL, INC
10/22/20023/2/2010Farmingdale, NY
CONTINENTAL BROKER-DEALER CORP.
1/16/200211/20/2002Carle Place, NY
CONTINENTAL BROKER-DEALER CORP.
4/18/200111/28/2001Carle Place, NY
SEABOARD SECURITIES, INC.
10/11/20005/10/2001Florham Park, NJ

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Barry Alan Goldstein has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Barry Alan Goldstein - Financial Advisor in Melville, NY | AdvisorFinder