Seth D. Goldberg
UNITED CAPITAL FINANCIAL ADVISORS | Managing Director
SCOTTSDALE, AZ 85254
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CRD#: 1484235
Professional summary
Seth David Goldberg, CFP® is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Scottsdale, Arizona.
Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Seth has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Biography
Seth Goldberg counsels clients on investment opportunities in alignment with each client's needs, goals, and tolerance for risk at United Capital Financial Advisors. For almost 40 years, he has been providing clients with investment management and consulting services ranging from financial and retirement planning to estate planning and portfolio management. Seth focuses primarily on creating strategies to help his clients achieve and maintain financial independence.
He began his career as a financial advisor in 1986 with IDS/American Express. Since that time, Seth has worked for various financial institutions, including The Acacia Group and SagePoint Financial.
He earned his Bachelor of Science in Marketing from the University of Arizona and his MBA with an emphasis on Finance from Arizona State University. Seth also received his board designation as a CERTIFIED FINANCIAL PLANNER™ from the College for Financial Planning and is an active member of the Financial Planning Association.
Seth and his wife have two sons. He enjoys the Arizona outdoors, traveling, practicing yoga, cooking, and spending time with his family.
Question & Answer
What are your service offerings?
Insurance Planning
Retirement Income Management
Estate Planning
Investment Planning
Tax Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Retirement Planning
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.
CRS (Client Relationship Summary) - RIA
Click below to view Seth David Goldberg's 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®
Start date: 1989
Experience
Current
January 2, 2014 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 16427 N. Scottsdale Road, Suite 395, Scottsdale, AZ 85254RIA
CRD#: 134600
SCOTTSDALE, AZ
Past
September 3, 2020 - November 16, 2023
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
SCOTTSDALE, AZ
Past
September 3, 2020 - November 16, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
SCOTTSDALE, AZ
Past
November 1, 2017 - September 3, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SCOTTSDALE, AZ
Past
January 2, 2014 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
SCOTTSDALE, AZ
Past
May 1, 2013 - December 31, 2013
OSAIC SERVICES, INC.
RIA
CRD#: 133763
SCOTTSDALE, AZ
Past
October 31, 2008 - December 31, 2013
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
July 29, 2002 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
SCOTTSDALE, AZ
Past
April 22, 1988 - July 26, 2002
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
April 25, 1986 - May 4, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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.Highlighted states indicate IAR registrations
IAR
Arizona(1/29/2014)
IAR
California(1/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Company Information
UNITED CAPITAL FINANCIAL ADVISORS
Managing DirectorCRD#: 134600Scottsdale, AZ 85254TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
