Alan Goodstein has been Chief Compliance Officer of Goodstein Wealth Management since February 2016, is a control person of the firm and directly owns 75% or more of it.
Goodstein Wealth Management LLC is an Encino, CA firm with $114M under management, 101 clients and 2 advisers in one office, as of its March 2026 filing.
Alan Goodstein’s longest registration is the current one, 10 years at Goodstein Wealth Management since 2016. Before joining Goodstein Wealth Management in 2016, Alan Goodstein was registered through Cadaret Grant & Co Inc and Afa Advisor Services LLC.
- – present · 10 yearsEncino, CA · Adviser representative · Firm CRD 282910
- Cadaret Grant & Co Inc– · 5 yearsEncino, CA · Adviser representative · Firm CRD 10641
- Afa Advisor Services LLC– · 6 yearsEncino, CA · Adviser representative · Firm CRD 129104
- Raymond James Financial Services– · under a yearTarzana, CA · Adviser representative · Firm CRD 6694
Investment adviser representative registrations
Alan Goodstein is registered as an investment adviser representative in 2 states. Each was approved in April 2016.
- CaliforniaSince 12 April 2016
- TexasSince 12 April 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 51 | Municipal Fund Securities Principal Examination | 3 June 2003 |
| Series 24 | General Securities Principal Examination | 14 January 2002 |
| Series 31 | Futures Managed Funds Examination | 21 September 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 September 1993 |
| Series 7 | General Securities Representative Examination | 13 September 1993 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Alan Randall Goodstein
- CRD
- 2384297
- Firm
- Goodstein Wealth Management · CRD 282910
- Role
- Chief Compliance Officer
- Office
- 15760 VENTURA BLVD., SUITE 1520, Encino, CA 91436
- Registration
- Investment adviser registration
- In the industry since
- April 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Alan Goodstein work?
Alan Goodstein has been Chief Compliance Officer of Goodstein Wealth Management LLC since February 2016, and is a control person of the firm.
Is Alan Goodstein a financial advisor?
Yes. Alan Goodstein has a current investment-adviser registration in California and Texas, through Goodstein Wealth Management since April 2016.
How many years of experience does Alan Goodstein have?
Alan Goodstein has 23 years in the financial industry, since April 2003, across 4 adviser firms.
What exams has Alan Goodstein passed?
Alan Goodstein has passed 5 licensing exams: the Series 7, Series 63, Series 31, Series 24 and Series 51. The earliest, the Series 7, was passed in September 1993. FINRA credited Alan Goodstein with the SIE, which began in October 2018.
Where did Alan Goodstein work before Goodstein Wealth Management?
Before Goodstein Wealth Management, Alan Goodstein was registered through Cadaret Grant & Co Inc, April 2010 to April 2016; Afa Advisor Services LLC, March 2004 to April 2010; Raymond James Financial Services, January 2003 to December 2003.
Where is Alan Goodstein based?
Alan Goodstein’s registered office is in Encino, CA.
Is Alan Goodstein registered with FINRA?
No. Alan Goodstein has no current broker registration.
How can I verify Alan Goodstein’s record?
Search CRD 2384297 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Alan Goodstein’s full registration record.