Mark D. Goldfarb

GOLDFARB FINANCIAL MANAGEMENT

Studio City, CA

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CRD#: 2115448

Professional summary

Mark David Goldfarb is a registered financial advisor currently at GOLDFARB FINANCIAL MANAGEMENT, LLC located in Studio City, California.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Mark has worked at 5 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 Mark David Goldfarb'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

April 20, 2020 - Present

GOLDFARB FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 306271

Studio City, CA

Past

June 1, 2009 - July 2, 2019

MORGAN STANLEY

RIA

CRD#: 149777

BEVERLY HILLS, CA

Past

June 1, 2009 - July 2, 2019

MORGAN STANLEY

CRD#: 149777

BEVERLY HILLS, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BEVERLY HILLS, CA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

BEVERLY HILLS, CA

Past

January 12, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEVERLY HILLS, CA

Past

March 7, 1994 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BEVERLY HILLS, CA

Past

January 28, 1991 - March 17, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

GOLDFARB FINANCIAL MANAGEMENT, LLC

CRD#: 306271 / SEC#: 801-132935

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

California

Registered Investment Advisory firm - (7/18/2025 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

California
(4/20/2020)

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: 12/17/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1991

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: 1/25/1991

General Securities Representative Examination

Current Firm

GOLDFARB FINANCIAL MANAGEMENT, LLC

CRD#: 306271 / SEC#: 801-132935

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

California

Registered Investment Advisory firm - (7/18/2025 Terminated)

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Contact information

Main Address

Studio City, CA

Mailing Address

9663 Santa Monica Blvd. Suite 394, Beverly Hills, CA 90210

Phone number

(310) 402-2152

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOLDFARB FINANCIAL MANAGEMENT, LLC CLIENT BROCHURE (6/9/2025)

GOLDFARB FINANCIAL MANAGEMENT, LLC SUPPLEMENTAL BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 119,657,180

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

Mark D. Goldfarb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Goldfarb's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

GOLDFARB FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/2000

Series 63

Date: 2/5/1991

SIE

Date: 10/1/2018

Series 7

Date: 1/25/1991

Current Firm

GOLDFARB FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDFARB FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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