GOLDSTONE FINANCIAL GROUP, LLC of OAKBROOK TERRACE, IL is an SEC-registered investment adviser (CRD 222520). Regulatory assets under management: $1.1B.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| Anthony Pellegrino | OWNER/MANAGING MEMBER | CITRA, FL |
| Brian Robert Korienek | MINORITY OWNER | — |
| Ian Disbrow Meiksins | CHIEF COMPLIANCE OFFICER | Washginton, DC |
| Jessica B Debold | PRESIDENT | — |
| Matthew Raymon Rice | CHIEF INVESTMENT OFFICER | — |
| Stephen Martin Lapointe | CHIEF OPERATIONS OFFICER | — |
| Jeffrey Steven Weglarz | CHIEF COMPLIANCE OFFICER | — |
| WEGLARZ JEFFREY STEVEN | CHIEF COMPLIANCE OFFICER | — |
| PELLEGRINO MICHAEL AUGUST | MANAGING MEMBER; MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| PELLEGRINO ANTHONY NMN | MANAGING MEMBER | — |
| PELLEGRINO ANTHONY | MANAGING MEMBER; OWNER/MANAGING MEMBER | — |
| KORIENEK BRIAN ROBERT | MINORITY OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-03-28 | regulatory | ON MARCH 28, 2022, THE FIRM AND ITS OWNER AND PRINCIPAL, ANTHONY PELLEGRINO, WERE THE SUBJECT OF AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE AND DESIST PROCEEDINGS (THE "ORDER") ENTERED BY THE SEC, TO WHICH THEY PREVIOUSLY CONSENTED WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, MAKING FINDING… | Final | $150K |
| 2022-01-05 | regulatory | VIOLATION OF IDAHO CODE 30-14-502 BY MAKING AN UNSUITABLE RECOMMENDATION OF AN UNREGISTERED SECURITY TO ONE CLIENT WHO RESIDES IN IDAHO. | Final | $10K |