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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

STEPHEN MICHAEL GOLDSTEIN

Advisor at RBC CAPITAL MARKETS, LLC

HUNT VALLEY, MD | BALTIMORE, MD

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Search this name across graphsid dfx:ria:1ded8cf2-4ebc-88af-b6e7-c45eca241067

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 5, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 19, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jun 19, 1995
First registration: May 5, 1998
Dual registered: yes, broker-dealer
Other names: STEPHEN MICHAEL GOLDSTEIN
IAPD individual key: 2393935

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC CAPITAL MARKETS, LLC	National bd RIA	Aug 22, 2025	n/a	yes	HUNT VALLEY, MD\|BALTIMORE, MD	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Apr 15, 2009	Aug 22, 2025	no	Lutherville (Greenspring), MD	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2006	Apr 21, 2009	no	PIKESVILLE, MD\|NEW YORK, NY\|PIKESVILLE, MD	Previous registration
LEGG MASON WOOD WALKER, INCORPORATED	n/a	May 5, 1998	Feb 21, 2006	no	PIKESVILLE, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JANNEY MONTGOMERY SCOTT LLC	RBC CAPITAL MARKETS, LLC	Aug 22, 2025	Aug 22, 2025	0	Firm change	Ibd to ibd
CITIGROUP GLOBAL MARKETS INC.	JANNEY MONTGOMERY SCOTT LLC	Apr 21, 2009	Apr 15, 2009	-6	Firm change	Other
LEGG MASON WOOD WALKER, INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 21, 2006	Feb 21, 2006	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Aug 22, 2025 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Apr 15, 2009 to Aug 22, 2025factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 21, 2006 to Apr 21, 2009factForm ADV
→ LEGG MASON WOOD WALKER, INCORPORATEDRegistered adviserregistration: previous registration
May 5, 1998 to Feb 21, 2006factForm ADV

Dated events

Occurred
Aug 22, 2025
Advisor changed firm
Stephen Michael Goldstein left Janney Montgomery Scott Llc for Rbc Capital Markets, Llc (registered 2025-08-22)
Form ADVobserved 5 days ago