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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

LAWRENCE IRA GOLDSTEIN

Advisor at CETERA INVESTMENT ADVISERS LLC

ASPEN, CO | Los Angeles, CA

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Search this name across graphsid dfx:ria:caa3992c-e325-e4b3-55ae-d610c5f8ce6a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2001 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 22, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Jun 22, 1999
First registration: Mar 2, 2001
Dual registered: yes, broker-dealer
Other names: LARRY GOLDSTEIN
IAPD individual key: 3223787

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	Los Angeles, CA\|ASPEN, CO	Current employment
OPPENHEIMER ASSET MANAGEMENT	Bd affiliated wealth	Apr 15, 2003	Nov 12, 2007	no	NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 3, 2003	Jun 14, 2019	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
CIBC WORLD MARKETS CORP.	n/a	Mar 2, 2001	Jan 3, 2003	no	NEW YORK, NY	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
OPPENHEIMER & CO. INC.	OPPENHEIMER ASSET MANAGEMENT	Jun 14, 2019	Apr 15, 2003	-5,904	Firm change after gap	Other
OPPENHEIMER ASSET MANAGEMENT	CETERA INVESTMENT ADVISERS LLC	Nov 12, 2007	Jun 29, 2023	5,708	Firm change after gap	Other
CIBC WORLD MARKETS CORP.	OPPENHEIMER & CO. INC.	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 3, 2003 to Jun 14, 2019factForm ADV
→ OPPENHEIMER ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 15, 2003 to Nov 12, 2007factForm ADV
→ CIBC WORLD MARKETS CORP.Registered adviserregistration: previous registration
Mar 2, 2001 to Jan 3, 2003factForm ADV

Dated events

No dated event names this entity yet.