Mr. Goldstein brings over two decades of experience to his advisory role, having served as Chief Compliance Officer (CCO) and legal counsel at several prominent investment firms and through his consulting practice. Since 2016, he has been providing legal and compliance consulting services to Investment Advisers, Exempt Reporting Advisers and Broker-Dealers through his work with Goldstein Consulting Services, LLC. From 2014 to 2016, he was the CCO of KLS Professional Advisors Group, LLC, a New York-based SEC-registered investment adviser, where he led the firm’s compliance oversight.

Before that, he held the position of CCO at Yorkville Advisors, LLC, an SEC-registered investment manager overseeing various onshore and offshore hedge funds. He also served as CCO to affiliated sub-advisers registered with the UK’s FCA and Hong Kong’s SFC and was appointed Corporate Secretary and Counsel to the firm’s fund entities.

Earlier in his career, Mr. Goldstein was Director of Equity Compliance at UBS Capital Markets (formerly Charles Schwab Capital Markets), where he managed a 15-person team responsible for regulatory inquiries, litigation coordination, and trading desk surveillance. He also served as the firm’s Antitrust Compliance Officer.

Mr. Goldstein’s foundational legal and compliance experience was developed over his twenty-five plus years of industry experience where he has developed a deep understanding of regulatory frameworks and operational risk management within the financial industry

Mr. Goldstein earned his J.D. from Rutgers School of Law in 1996, his M.B.A. in Finance from Temple University’s Fox School of Business the same year, and his LL.M. in Taxation from Temple University Beasley School of Law in 2000.

He is admitted to the Arizona Bar.