DG
David J. Goldenberg
THE OAK RIDGE FINANCIAL SERVICES GROUP
Golden Valley, MN 55416-1089
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CRD#: 2681956
DG
Professional summary
David Jay Goldenberg is a registered financial advisor currently at THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. located in Golden Valley, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 8 firms and has passed the Series 65, Series 63, SIE 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.
Owner of Comm Clean Services (Plymouth MN) - an office cleaning service as of the end of 2016 for 20 hours a week (2hrs weekly during trading)
CRS (Client Relationship Summary) - RIA
Click below to view David Jay Goldenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Jay Goldenberg'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
September 18, 2018 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089Office #3: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Current
September 18, 2018 - Present
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
Office #1: 701 Xenia Avenue South Suite 100, Golden Valley, MN 55416-1089Office #2: 701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089Office #3: 701 Xenia Avenue S Ste 100, Golden Valley, MN 55416RIA
BD
CRD#: 42941
Golden Valley, MN
Past
July 31, 2014 - September 21, 2018
FELTL ADVISORS
RIA
CRD#: 165244
PLYMOUTH, MN
Past
July 3, 2014 - September 21, 2018
FELTL & COMPANY
BD
CRD#: 6905
MINNETONKA, MN
Past
March 17, 2008 - July 9, 2014
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
MINNETONKA, MN
Past
March 7, 2008 - July 9, 2014
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MINNETONKA, MN
Past
May 5, 2004 - March 11, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
WAYZATA, MN
Past
December 15, 2000 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - March 11, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
WAYZATA, MN
Past
October 10, 2000 - May 7, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
September 11, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
March 15, 1996 - September 12, 2000
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City 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
Arizona(12/24/2024)
RR
California(9/18/2018)
RR
Colorado(3/1/2023)
RR
Florida(9/18/2018)
IAR
Florida(10/16/2023)
RR
Georgia(5/4/2021)
RR
Iowa(10/10/2019)
RR
Louisiana(3/28/2019)
RR
Minnesota(9/18/2018)
IAR
Minnesota(9/18/2018)
RR
Nebraska(10/4/2023)
RR
Nevada(10/6/2022)
RR
New Jersey(9/9/2024)
RR
New York(10/6/2022)
RR
North Dakota(12/11/2018)
RR
Rhode Island(9/20/2021)
RR
South Carolina(7/9/2020)
RR
South Dakota(9/27/2023)
RR
Utah(4/23/2020)
RR
Wisconsin(9/18/2018)
IAR
Wisconsin(10/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TO
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC
CRD#: 42941 / SEC#: 801-80809, 8-50082
RIA
Registered Investment Advisory firm - SEC (1/15/2015 Approved)Florida
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/18/2015 Terminated)Montana
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Washington
Registered Investment Advisory firm - SEC (12/14/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2015 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089
Mailing Address
701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089
Phone number
(763) 923-2200
Established
Minnesota since 03/13/1997
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
60
SEC notice filing (34 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,501 |
| AUM (Assets Under Management) | $ 456,416,227 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
