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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

RONALD DAVID GOLDMAN

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:9ce9b007-a8cb-7960-d65a-c6872edf941c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 13, 2003 to Sep 14, 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: RAYMOND JAMES & ASSOCIATES, INC.
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: May 11, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: May 11, 1993
First registration: May 13, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 224374

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
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	May 8, 2008	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
STONE & YOUNGBERG LLC	Former SEC adviser	Apr 24, 2006	Oct 1, 2007	no	LOS ANGELES, CA	Previous registration
SMART INVESTMENTS ADVISORY INCORPORATED	State registered	Aug 22, 2005	Apr 21, 2006	no	LOS ANGELES, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2003	Feb 28, 2005	no	WESTLAKE VILLAGE, CA	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
STONE & YOUNGBERG LLC	RAYMOND JAMES & ASSOCIATES, INC.	Oct 1, 2007	May 8, 2008	220	Firm change	Other
SMART INVESTMENTS ADVISORY INCORPORATED	STONE & YOUNGBERG LLC	Apr 21, 2006	Apr 24, 2006	3	Firm change	Other
WELLS FARGO ADVISORS	SMART INVESTMENTS ADVISORY INCORPORATED	Feb 28, 2005	Aug 22, 2005	175	Firm change	Wirehouse to state RIA

Relationships

Registered with (4)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
May 8, 2008 to presentfactForm ADV
→ STONE & YOUNGBERG LLCRegistered adviserregistration: previous registration
Apr 24, 2006 to Oct 1, 2007factForm ADV
→ SMART INVESTMENTS ADVISORY INCORPORATEDRegistered adviserregistration: previous registration
Aug 22, 2005 to Apr 21, 2006factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2003 to Feb 28, 2005factForm ADV

Dated events

No dated event names this entity yet.