Jay L. Goldberg

MOSAIC ADVISORS

Houston, TX 77046

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CRD#: 1012351

Professional summary

Jay Lee Goldberg, CFP® is a registered financial advisor currently at MOSAIC ADVISORS located in Houston, Texas.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Jay has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Lee Goldberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

October 12, 2012 - Present

MOSAIC ADVISORS

Office #1: 3773 Richmond Avenue Suite 700, Houston, TX 77046

RIA

CRD#: 164913

Houston, TX

Past

February 17, 2012 - March 31, 2015

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

HOUSTON, TX

Past

February 16, 2012 - March 31, 2015

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

Past

November 29, 2011 - February 17, 2012

BOK FINANCIAL SECURITIES, INC.

RIA

CRD#: 17530

HOUSTON, TX

Past

November 28, 2011 - February 17, 2012

BOK FINANCIAL SECURITIES, INC.

CRD#: 17530

HOUSTON, TX

Past

February 17, 2005 - January 12, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

January 25, 2005 - November 28, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

HOUSTON, TX

Past

January 7, 2004 - November 12, 2004

AMEGY INVESTMENTS, INC.

RIA

CRD#: 120145

HOUSTON, TX

Past

May 13, 2003 - November 12, 2004

AMEGY INVESTMENTS, INC.

CRD#: 120145

HOUSTON, TX

Past

August 23, 2002 - May 15, 2003

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

November 12, 1998 - August 5, 2002

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

HOUSTON, TX

Past

November 5, 1998 - August 5, 2002

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

March 5, 1998 - September 29, 1998

STANFORD GROUP COMPANY

CRD#: 39285

HOUSTON, TX

Past

June 30, 1992 - February 25, 1998

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 3, 1989 - July 8, 1992

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 22, 1989 - November 14, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 27, 1984 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

November 3, 1981 - April 27, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/12/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/28/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/1981

General Securities Representative Examination

Current Firm

MOSAIC ADVISORS

MOSAIC | MOSAIC ADVISORS, LLC | MOSAIC ADVISORS LLC | MOSAIC ADVISORS

CRD#: 164913 / SEC#: 801-99369

RIA

Registered Investment Advisory firm - (6/10/2015 Approved)

Texas

Registered Investment Advisory firm - (6/12/2015 Terminated)

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Contact information

Main Address

3773 Richmond Avenue Suite 700, Houston, TX 77046

Mailing Address

Phone number

(713) 980-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MOSAIC ADVISORS FORM ADV PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	214
AUM (Assets Under Management)	$ 499,449,089

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jay L. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jay Lee Goldberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

BOK FINANCIAL SECURITIES, INC.

BOK FINANCIAL SECURITIES, INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

FSC SECURITIES CORPORATION

AMEGY INVESTMENTS, INC.

AMEGY INVESTMENTS, INC.

FISERV INVESTOR SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

STANFORD GROUP COMPANY

PRUDENTIAL EQUITY GROUP, LLC

CIBC WORLD MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MOSAIC ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/1997

Series 63

Date: 11/12/1981

SIE

Date: 3/31/2015

Series 7

Date: 9/19/1981

Current Firm

MOSAIC ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSAIC ADVISORS

TRUST BUT VERIFY

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