Ward D. Goldberg

CETERA INVESTMENT ADVISERS LLC

UNIONDALE, NY 11553

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CRD#: 1325743

Professional summary

Ward David Goldberg is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Uniondale, New York and CETERA WEALTH SERVICES, LLC located in Uniondale, New York.

Ward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Ward has worked at 10 firms and has passed the Series 66, 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.

ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 10/01/2015 ADDRESS: , Uniondale NY , United States DESCRIPTION: Agent/Broker

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ward David 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®

None

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 50 Charles Lindbergh Blvd Ste 420, Uniondale, NY 11553

RIA

CRD#: 105644

UNIONDALE, NY

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 50 Charles Lindbergh Blvd Suite 420, Uniondale, NY 11553

CRD#: 13572

Uniondale, NY

Past

May 29, 2021 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

UNIONDALE, NY

Past

November 18, 2015 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

UNIONDALE, NY

Past

June 1, 1992 - March 23, 1993

CITICORP INVESTMENT SERVICES

CRD#: 23988

Past

February 27, 1992 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

June 13, 1989 - January 27, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

Past

March 7, 1989 - April 1, 1989

COMMONWEALTH ASSOCIATES

CRD#: 20833

Past

November 10, 1988 - January 26, 1989

GRUNTAL & CO., L.L.C.

CRD#: 372

Past

April 24, 1987 - November 28, 1988

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

May 12, 1986 - May 2, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 21, 1986 - May 15, 1986

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Colorado
(8/10/2023)

Florida
(8/14/2023)

Massachusetts
(8/10/2023)

New Jersey
(8/10/2023)

New York
(8/10/2023)

IAR

New York
(8/10/2023)

Ohio
(8/29/2023)

Pennsylvania
(9/11/2025)

Tennessee
(5/8/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Ward D. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ward David Goldberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP FINANCIAL SERVICES,INC.

MORGAN STANLEY DW INC.

COMMONWEALTH ASSOCIATES

GRUNTAL & CO., L.L.C.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2016

Series 63

Date: 6/19/1985

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2015

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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