HG
Heath B. Goldman
WORLD EQUITY GROUP
Sherman Oaks, CA
Some features on this profile are disabled
CRD#: 2560987
HG
Professional summary
Heath Bryan Goldman, who also goes by Heath B Goldman, Heath Bryan Goldman, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Sherman Oaks, California.
Heath is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Heath has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Heath B Goldman | Heath Bryan Goldman
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) Bertha Mae's Brownie Co. 5057 Matilija Ave., Sherman Oaks, CA 91423. Not Investment Related. Start: 6/2/2015. Wife owns a gourmet brownie company. Position: CMO. Approx. hr/mo: 20. 0 during securities trading. 2) Legacy Education & Training Services. 5057 Matilija Ave., Sherman Oaks, CA 91423. Not Investment Related. Start: 06/02/2015. President/CEO. Consult to not for profits on planned giving. Approx. Hrs/Mo: 5. 0 during securities trading. 3) ICON Wealth & Legacy Partners. 5057 Matilija Ave., Sherman Oaks, CA 91423. Investment Related. Start: 06/2/2015. President/CEO. dba for planning business. President/CEO. Approx. hrs/mo: 60. Approx. hrs/mo during securities trading: 60. 4) FIXED INSURANCE. 5057 MATILIJA AVE., SHERMAN OAKS, CA 91423, INVESTMENT RELATED. START DATE: 7/7/2020. SALES OF VARIOUS FIXED INSURANE INCLUDING LIFE INSURANCE. APPROX.HRS/MO: 20. APPROX HRS/MO DURING SECURITIES TRADING: 10. 5) Community Foundation of the Valleys. Not investment related. Vice Chair. Run meeting when the President isnot available, raise charitable dollars and sit on the grant committee. Approx. hrs/Mo: 4. 0 during securities trading hours. 6) Israel Softball Association. Israel. Not Investment Related. Start date: 3/3/2021. International Head of Fundraising. Raise money for international tournaments, travel and expenses for which my daughter is a member. 7) FAMILY OFFICE ASSOCIATION; POSITION: Ambassador NATURE: an organization for Family offices and those that cater to these families INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: 09/15/2022 ADDRESS: 500 West Putnam Avenue, suite 400, Greenwich CT 06830, United States DESCRIPTION: attend and promote the organization to single family, multi family offices and those that support these families 8) Association for Corporate Growth; Not Investment Related; Address: Souza & Associates, Inc, P. O. Box 8606, Calabasas, CA 91372; ACG is a national organization that focuses on the middle market business marketplace; Posn: Board member; Title: Board member; Start date: 01.02.23; the approximate number of hours/month: 4 Hrs; Hours during securities trading hrs: ZERO; Duties: in charge of or programming. 9) PARADISE INSURANCE COMPANY; 1313 n Market Street, Floor east, Wilmington DE 19801; Not Investment Related; Start Date: 01/03/2023; POSITION: set up by a client NATURE: This is the captive insurance company that a CA client set up to create some additional risk management for his firm. Rep is involved with the set up process and will oversee risk mitigation throughout the year with the hopes of avoiding claims; NUMBER OF HOURS/Month: 1; Hrs during SECURITIES TRADING HOURS: Zero Hrs. 10) Myrlin Group; Not Investment Related; 425 15th St, Suite 3190, Manhattan Beach, CA 90266; Nature of Business: The Myrlin Group is made of up 2 different entities. One that is the Venture Studio and the other raises capital for their venture clients. I would be a board member as a sounding board and a referral source of professionals and entrepreneurs. I will have no control responsibilities nor recommendations of any specific companies to investors; Posn: Board Member; Start Date: 08.14.23; Approx. No of Hrs/Month: 3; No of Hrs during trading hrs: ZERO; 11) Opulence; Not Investment Related; 5057 Matilija Ave, Sherman Oaks, CA 91423; Nature: Is an organization that caters to Family offices, high net worth, Investors, private equity and venture capital. We curate private events, dinners, seminars, conferences etc.; Posn/Title: Partner; Duties: I am one of 3 founders and partners; Start Date: 11/24/23; Approx. Hrs/Month: 5 Hrs; Hrs during trading Hrs: 1 Hr. 12) Private Risk Partners (PRP); Not Investment Related; 1200 G ST NW 8th Floor DC, Washington, DC, 20005; Nature of OBA: PRP consults to those of wealth that can benefit from PPLI and PPVA solutions. Referral Partner; Hrs/Month: 30/20
CRS (Client Relationship Summary) - RIA
Click below to view Heath Bryan Goldman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Heath Bryan Goldman's 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®
NoneExperience
Current
April 26, 2018 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Sherman Oaks, CA
Current
April 20, 2018 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Sherman Oaks, CA
Past
April 5, 2017 - April 23, 2018
OMNIA CAPITAL MANAGEMENT, INC.
RIA
CRD#: 151504
Sherman Oaks, CA
Past
July 28, 2015 - January 23, 2017
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
GLENDALE, CA
Past
July 16, 2015 - January 23, 2017
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
GLENDALE, CA
Past
October 28, 2008 - July 1, 2015
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SHERMAN OAKS, CA
Past
October 24, 2008 - July 1, 2015
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SHERMAN OAKS, CA
Past
December 14, 2004 - October 24, 2008
QA3 FINANCIAL LLC
RIA
CRD#: 104957
SHERMAN OAKS, CA
Past
December 14, 2004 - October 24, 2008
QA3 FINANCIAL CORP.
BD
CRD#: 14754
SHERMAN OAKS, CA
Past
August 9, 2002 - December 13, 2004
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
MONTCLAIR, CA
Past
July 8, 2002 - December 13, 2004
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
April 7, 2000 - July 8, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 31, 2000 - July 8, 2002
OSAIC FA, INC.
RIA
CRD#: 3978
GLENDALE, CA
Past
January 24, 2000 - July 8, 2002
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
May 24, 1996 - January 28, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
January 15, 1996 - May 9, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 22, 1994 - January 16, 1996
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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
California(4/20/2018)
IAR
California(4/26/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
