Adam Goldberg

DUMONT & BLAKE INVESTMENT ADVISORS LLC

Princeton, NJ 08540

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CRD#: 2297803

Professional summary

Adam Goldberg is a registered financial advisor currently at DUMONT & BLAKE INVESTMENT ADVISORS LLC located in Princeton, New Jersey.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Adam has worked at 4 firms and has passed the Series 65, Series 63 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 Adam 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

June 23, 2014 - Present

DUMONT & BLAKE INVESTMENT ADVISORS LLC

Office #1: 731 Alexander Road Suite 301, Princeton, NJ 08540

RIA

CRD#: 109318

Princeton, NJ

Past

April 17, 1996 - November 24, 1999

R. SEELAUS & CO., LLC

CRD#: 14974

CHATHAM, NJ

Past

January 31, 1994 - April 8, 1996

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

December 24, 1992 - February 9, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

DUMONT & BLAKE INVESTMENT ADVISORS LLC

CRD#: 109318 / SEC#: 801-56824

RIA

Registered Investment Advisory firm - (9/3/1999 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

New Jersey
(6/23/2014)

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: 2/27/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/21/1992

General Securities Representative Examination

Current Firm

DUMONT & BLAKE INVESTMENT ADVISORS LLC

CRD#: 109318 / SEC#: 801-56824

RIA

Registered Investment Advisory firm - (9/3/1999 Approved)

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Contact information

Main Address

731 Alexander Road Suite 301, Princeton, NJ 08540

Mailing Address

Phone number

(609) 514-1899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B - DBIA - MARCH 27, 2025 (4/1/2025)

FORM ADV, PART 2A - DBIA - MARCH 27, 2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	868
AUM (Assets Under Management)	$ 540,831,763

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/19/2025	Cover Page	Report
04/23/2024	Cover Page	Report
04/06/2023	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

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Adam Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

R. SEELAUS & CO., LLC

ROBERT THOMAS SECURITIES, INC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

DUMONT & BLAKE INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/27/2014

Series 63

Date: 12/28/1992

Series 7

Date: 12/21/1992

Current Firm

DUMONT & BLAKE INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DUMONT & BLAKE INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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