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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

ADAM M GOLDSTEIN

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Sanford, FL | Winter Park, FL

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Search this name across graphsid dfx:ria:d42f1e1c-4f48-68f1-75ce-48d220dcf706

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 30, 1996 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: AMERIPRISE FINANCIAL SERVICES, 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: Jul 30, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Jul 31, 1996
First registration: Jul 30, 1996
Dual registered: yes, broker-dealer
Other names: ADAM MATTHEW GOLDSTEIN|Adam Matthew Goldstein
IAPD individual key: 2744299

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 20, 2020	n/a	yes	Winter Park, FL\|Sanford, FL	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Sep 20, 2013	Feb 20, 2020	no	LAKE MARY, FL	Previous registration
PRIVATE WEALTH MANAGEMENT AT HEATHROW	n/a	May 3, 2013	Dec 11, 2013	no	LAKE MARY, FL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 22, 2010	Sep 26, 2013	no	LAKE MARY, FL\|SAN DIEGO, CA\|LAKE MARY, FL\|LADY LAKE, FL\|LADY LAKE, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 30, 1996	Dec 20, 2010	no	HEATHROW, FL\|HEATHROW, FL\|HEATHROW, FL	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 20, 2020	Feb 20, 2020	0	Firm change	Ibd to ibd
PRIVATE WEALTH MANAGEMENT AT HEATHROW	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Dec 11, 2013	Sep 20, 2013	-82	Firm change after gap	Other
LPL FINANCIAL LLC	PRIVATE WEALTH MANAGEMENT AT HEATHROW	Sep 26, 2013	May 3, 2013	-146	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Dec 20, 2010	Dec 22, 2010	2	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:6363:FL:2020-02-20	Feb 20, 2020	Feb 20, 2020	LAKE MARY, FL	Firm change

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 30, 1996 to Dec 20, 2010factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Sep 20, 2013 to Feb 20, 2020factForm ADV
→ PRIVATE WEALTH MANAGEMENT AT HEATHROWRegistered adviserregistration: previous registration
May 3, 2013 to Dec 11, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 22, 2010 to Sep 26, 2013factForm ADV

Dated events

No dated event names this entity yet.