AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AG

Allan B. Goldberg

Some features on this profile are disabled
CRD#: 223876
AG

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.

Allan Barry Goldberg was a registered financial professional .

Allan is a previously registered financial professional and started their career in finance in 1967. Allan had worked at 12 firms and has passed the Series 63, PC and Series 1 exams.

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

November 12, 1996 - June 24, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

October 21, 1996 - October 29, 1996

SAGE SECURITIES CORP.

BD
CRD#: 41354
GREAT NECK, NY
Past

February 21, 1994 - February 29, 1996

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 29, 1993 - March 9, 1994

SCHLESINGER SECURITIES CORP.

BD
CRD#: 31733
GREAT NECK, NY
Past

September 16, 1992 - October 13, 1993

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

July 16, 1991 - July 15, 1992

CITATION FINANCIAL GROUP, L.P.

BD
CRD#: 28305
NEW YORK, NY
Past

March 21, 1988 - November 20, 1990

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 12, 1976 - November 28, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

BD
CRD#: 501
Past

October 2, 1975 - August 2, 1976

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488
Past

August 12, 1975 - December 5, 1975

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 8, 1975 - August 25, 1975

DOUGLAS STEWART INCORPORATED

BD
CRD#: 228
Past

August 6, 1971 - April 12, 1975

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

April 18, 1967 - September 12, 1971

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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: 9/27/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 6/17/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 4/17/1967
Registered Representative Examination

Current Firm

AB
ALEX. BROWN & SONS INCORPORATED
ALEX. BROWN & SONS | ALEX. BROWN & SONS, INC. | ALEX. BROWN & SONS INCORPORATED

CRD#: 20 / SEC#: , 8-31213

BD
Terminated by SEC on 02/07/1998
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Maryland since 12/14/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

TRUST BUT VERIFY

Monitor Allan Goldberg

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.