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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

ERIC D. GOLDSTEIN

Advisor at ESI FINANCIAL ADVISORS

OXFORD, CT | LATHAM, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2004 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: ESI FINANCIAL ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 3, 2004
First registration: Jul 6, 2004
Dual registered: yes, broker-dealer
Other names: ERIC GOLDSTEIN
IAPD individual key: 4775321

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
ESI FINANCIAL ADVISORS	Independent wealth	Apr 16, 2014	n/a	yes	LATHAM, NY\|OXFORD, CT	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Feb 17, 2010	Jan 30, 2014	no	SHELTON, CT	Previous registration
AMERITAS ADVISORY SERVICES	Former SEC adviser	May 11, 2009	Feb 16, 2010	no	WHITE PLAINS, NY\|LINCOLN, NE	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Feb 13, 2007	Jan 2, 2009	no	WILTON, CT	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 6, 2004	Jan 10, 2007	no	SHELTON, CT\|MIDDLEBURY, CT	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
PRUCO SECURITIES, LLC	ESI FINANCIAL ADVISORS	Jan 30, 2014	Apr 16, 2014	76	Firm change	Other
AMERITAS ADVISORY SERVICES	PRUCO SECURITIES, LLC	Feb 16, 2010	Feb 17, 2010	1	Firm change	Other
ESI FINANCIAL ADVISORS	AMERITAS ADVISORY SERVICES	Jan 2, 2009	May 11, 2009	129	Firm change	Other
PRUCO SECURITIES, LLC	ESI FINANCIAL ADVISORS	Jan 10, 2007	Feb 13, 2007	34	Firm change	Other

Relationships

Registered with (3)

→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Feb 13, 2007 to Jan 2, 2009factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Feb 17, 2010 to Jan 30, 2014factForm ADV
→ AMERITAS ADVISORY SERVICESRegistered adviserregistration: previous registration
May 11, 2009 to Feb 16, 2010factForm ADV

Dated events

No dated event names this entity yet.