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Neil L. Goldberg

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CRD#: 1284505
NG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Neil Lawrence Goldberg was a registered financial professional .

Neil is a previously registered financial professional and started their career in finance in 1984. Neil had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 29, 2004 - January 3, 2018

GW & WADE ASSET MANAGEMENT COMPANY, LLC

BD
CRD#: 25745
WELLESLEY, MA
Past

January 24, 2002 - August 7, 2003

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

May 3, 1999 - March 23, 2001

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

October 21, 1991 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

August 3, 1984 - October 10, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/18/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/2/1984
Investment Company Products/Variable Contracts Representative Examination

Current Firm

G&
GW & WADE ASSET MANAGEMENT COMPANY, LLC
G. W. & WADE ASSET MANAGEMENT COMPANY | GW & WADE ASSET MANAGEMENT COMPANY, LLC | G. W. & WADE ASSET MANAGEMENT COMPANY, INC.

CRD#: 25745 / SEC#: , 8-42013

BD
Terminated by SEC on 02/04/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/13/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FOCUS OPERATING, LLCMEMBER
MAHONEY, HEATHER SCHIRMERGENERAL COUNSEL7053236
NATALE, PAUL JOSEPHLIMITED PRINCIPAL - FINANCIAL AND OPERATIONS4691979
VALENTINE, MATTHEW GEORGECHIEF COMPLIANCE OFFICER AND REGISTERED OPTIONS PRINCIPAL4958447

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.

Company Information

GW & WADE ASSET MANAGEMENT COMPANY, LLC

CRD#: 25745

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