GG
Gary M. Goldberg
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CRD#: 223919
GG
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.
Gary Mark Goldberg was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1970. Gary had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 52TO, SIE, Series 1, Series 53, Series 24, Series 4 and Series 00 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.
1. Montebello Wealth Management (dba):Investment advisory services, brokerage services, Montebello, NY, CEO. 2. GARY Goldberg Insurance:Insurance agent; variable annuities,life insurance, long term health care, Montebello, NY. 3. Money Matter with GARY Goldberg: Montebello, NY, Financial talk show host and interviewer. 4. Goldberg Montebello LLC: Montebello, NY, Office building ownership; rent collection and maintenance.
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®
NoneExperience
Past
June 2, 2020 - May 31, 2022
NFSG CORPORATION
RIA
CRD#: 130814
MONTEBELLO, NY
Past
May 20, 2020 - May 31, 2022
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
MONTEBELLO, NY
Past
March 27, 2015 - October 21, 2019
GARY GOLDBERG PLANNING SERVICES
RIA
CRD#: 173565
SUFFERN, NY
Past
March 20, 2015 - October 21, 2019
GARY GOLDBERG & CO., LLC
BD
CRD#: 47957
FISHKIILL, NY
Past
April 14, 1993 - December 31, 2015
GARY GOLDBERG PLANNING SERVICES INC
RIA
CRD#: 110784
SUFFERN, NY
Past
February 24, 1976 - January 14, 1979
MHL INVESTMENTS
BD
CRD#: 2535
Past
June 1, 1973 - March 18, 2015
GARY GOLDBERG & CO., INC.
BD
CRD#: 6482
SUFFERN, NY
Past
March 13, 1972 - July 21, 1973
MACK BUSHELL & EDELMAN INC
BD
CRD#: 1000007
Past
July 29, 1970 - March 18, 1972
ITG EXECUTION SERVICES, INC.
BD
CRD#: 5247
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/24/1969
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 4/30/1973
General Securities Principal ExaminationCurrent Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
