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Richard Bruce Goldstein

Investment Adviser Representative at B. RILEY WEALTH ADVISORS, INC.

Livermore, CACRD #851676Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
48 yrs
States Registered
23 states
Exams Passed
5

Professional summary

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

Richard Bruce Goldstein has worked in the securities industry since 1978. They are registered to provide investment advisory services in 23 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 23 states
ArizonaCaliforniaColoradoFloridaGeorgiaIdahoIllinoisKansasMichiganMinnesotaNevadaNew JerseyNew YorkOregonPennsylvaniaRhode IslandSouth CarolinaTexasUtahVirginiaWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/2/2008
Series 63
Uniform Securities Agent State Law Examination
Passed 9/20/1982
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 4/15/1978

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

B. Riley Wealth Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

B. RILEY WEALTH ADVISORS, INC.Current
5/25/2012Livermore, CA
LEGEND MERCHANT GROUP, INC.
10/16/20143/3/2017San Francisco, CA
LEGEND MERCHANT GROUP, INC.
7/26/20115/10/2012San Francisco, CA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
4/9/20124/20/2012Orlando, FL
ANDERSON & STRUDWICK, INCORPORATED
9/2/20108/1/2011San Francisco, CA
JESUP & LAMONT SECURITIES CORP.
7/31/20097/14/2010San Francisco, CA
MOORS & CABOT INC
10/10/20068/2/2007Boston, MA

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. Richard Bruce 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.

Richard Bruce Goldstein - Financial Advisor in Livermore, CA | AdvisorFinder