Jay B. Goldberg
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.
Jay Bruce Goldberg was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1984. Jay had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2021 - December 19, 2022
PM WEALTH MANAGEMENT, LLC
October 26, 1984 - September 26, 1988
AMERICAN EAGLE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PM WEALTH MANAGEMENT, LLC
CRD#: 298324 / SEC#: 801-114059
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,209 |
| AUM (Assets Under Management) | $ 666,273,576 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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