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TG

Troy J. Goldberg

CETERA INVESTMENT ADVISERS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2342989
TG

Professional summary

Troy Jason Goldberg, who also goes by Troy J Goldberg, Troy Goldberg, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Boca Raton, Florida and CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.

Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Troy has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Troy J Goldberg | Troy Goldberg

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 Troy Jason 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

August 6, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2500 North Military Trail Suite 300, Boca Raton, FL 33431
RIA
CRD#: 105644
Boca Raton, FL
Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2500 North Military Trail, Suite 206, Boca Raton, FL 33431
BD
CRD#: 13572
Boca Raton, FL
Past

December 5, 2023 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Boca Raton, FL
Past

December 1, 2023 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Boca Raton, FL
Past

June 17, 2022 - December 6, 2023

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BOCA RATON, FL
Past

September 3, 2015 - December 6, 2023

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
BOCA RATON, FL
Past

June 28, 2007 - July 23, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

May 8, 2006 - May 30, 2007

BROOKSHIRE SECURITIES CORPORATION

BD
CRD#: 44347
FT. LAUDERDALE, FL
Past

January 17, 2002 - April 28, 2006

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

October 20, 1999 - January 23, 2002

PREFERRED SECURITIES GROUP, INC.

BD
CRD#: 35704
BOCA RATON, FL
Past

February 25, 1998 - October 21, 1999

FIN-ATLANTIC SECURITIES, INC.

BD
CRD#: 25523
JUPITER, FL
Past

August 8, 1994 - December 23, 1997

MONROE PARKER SECURITIES, INC.

BD
CRD#: 31204
PURCHASE, NY
Past

April 21, 1993 - August 8, 1994

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(9/5/2025)
RR
California
(9/5/2025)
RR
Connecticut
(9/5/2025)
RR
District of Columbia
(9/5/2025)
IAR
Florida
(8/6/2025)
RR
Florida
(9/5/2025)
RR
Georgia
(9/5/2025)
RR
Indiana
(9/5/2025)
RR
Iowa
(9/5/2025)
RR
Louisiana
(9/5/2025)
RR
Maine
(9/5/2025)
RR
Maryland
(9/5/2025)
RR
Michigan
(9/5/2025)
RR
Minnesota
(9/5/2025)
RR
Mississippi
(9/5/2025)
RR
Nevada
(9/5/2025)
RR
New Jersey
(9/5/2025)
RR
New York
(9/5/2025)
RR
North Carolina
(9/5/2025)
RR
Ohio
(9/5/2025)
RR
Pennsylvania
(9/5/2025)
RR
Rhode Island
(9/5/2025)
RR
Texas
(9/5/2025)
IAR
Texas
(9/5/2025)
RR
Virginia
(9/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/30/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/6/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
Loading...

Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Boca Raton, FL 33431

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