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RIA / WealthAdvisor44 years in industry

PHILIP ALAN GOLDSTEIN

Advisor at 1ST FINANCIAL INVESTMENT, INC.

Clark's Summit, PA | CLARK'S SUMMIT, PA

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Search this name across graphsid dfx:ria:d23b5a83-9bc8-a03b-351c-a620a82682bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 8, 2004 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: 1ST FINANCIAL INVESTMENT, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 23, 1982
First registration: Oct 8, 2004
Dual registered: no
Other names: PHIL GOLDSTEIN|PHILIP A GOLDSTEIN
IAPD individual key: 1031460

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
1ST FINANCIAL INVESTMENT, INC.	State registered	May 6, 2016	n/a	yes	Clark's Summit, PA\|CLARK'S SUMMIT, PA	Current employment
VERE ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 14, 2016	Aug 11, 2025	no	SOUTH ABINGTON TOWNSHIP, PA\|COLLIERVILLE, TN\|Clark's Summit, PA	Previous registration
KALOS MANAGEMENT	Former SEC adviser	Jun 3, 2011	Feb 14, 2014	no	CLARKS SUMMIT, PA\|PONTE VEDRA BEACH, FL	Previous registration
WFG ADVISORS, LP	Former SEC adviser	Mar 7, 2011	Jul 7, 2011	no	CLARKS SUMMIT, PA\|DALLAS, TX	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	Oct 8, 2004	Mar 8, 2011	no	CLARKS SUMMIT, PA\|CLARK'S SUMMIT, PA	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
VERE ASSET MANAGEMENT, INC.	1ST FINANCIAL INVESTMENT, INC.	Aug 11, 2025	May 6, 2016	-3,384	Firm change after gap	Other
KALOS MANAGEMENT	VERE ASSET MANAGEMENT, INC.	Feb 14, 2014	Apr 14, 2016	790	Firm change after gap	Other
WFG ADVISORS, LP	KALOS MANAGEMENT	Jul 7, 2011	Jun 3, 2011	-34	Firm change after gap	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	WFG ADVISORS, LP	Mar 8, 2011	Mar 7, 2011	-1	Firm change	Other

Relationships

Registered with (5)

→ 1ST FINANCIAL INVESTMENT, INC.Registered adviserregistration: current employment
May 6, 2016 to presentfactForm ADV
→ VERE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 14, 2016 to Aug 11, 2025factForm ADV
→ KALOS MANAGEMENTRegistered adviserregistration: previous registration
Jun 3, 2011 to Feb 14, 2014factForm ADV
→ WFG ADVISORS, LPRegistered adviserregistration: previous registration
Mar 7, 2011 to Jul 7, 2011factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 8, 2004 to Mar 8, 2011factForm ADV

Dated events

Occurred
Aug 11, 2025
Advisor changed firm
Philip Alan Goldstein left Vere Asset Management, Inc. for 1St Financial Investment, Inc. (registered 2016-05-06)
Form ADVobserved 5 days ago