Jeffrey A. Goldberg

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CRD#: 2760527

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.

Jeffrey Alan Goldberg, who also goes by Jeff Goldberg, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 7 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff 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)

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®

None

Experience

Past

August 13, 2013 - August 12, 2021

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

PHOENIX, AZ

Past

April 3, 2012 - July 5, 2013

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

November 4, 2008 - July 5, 2013

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

November 2, 2006 - April 9, 2007

CRESTA CAPITAL STRATEGIES, LLC

CRD#: 134488

MELVILLE, NY

Past

April 25, 2006 - August 29, 2006

TIMES SECURITIES, INC.

CRD#: 118813

SCOTTSDALE, AZ

Past

June 30, 1999 - December 31, 2004

PENATES GROUP, INC.

CRD#: 44266

PACIFIC PALISADES, CA

Past

July 16, 1997 - March 26, 1999

B. RILEY SECURITIES, INC.

CRD#: 25027

ARLINGTON, VA

Past

July 9, 1996 - September 30, 1996

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

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".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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.

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 66

Date: 3/30/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/15/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/15/2011

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/27/2011

General Securities Sales Supervisor - Options Module Examination

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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Contact information

Main Address

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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

Firm Stability Insights

Jeffrey A. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CRESTA CAPITAL STRATEGIES, LLC

TIMES SECURITIES, INC.

PENATES GROUP, INC.

B. RILEY SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2012

Series 63

Date: 7/8/1996

Series 7

Date: 7/15/1997

Series 6

Date: 7/8/1996

Series 10

Date: 12/15/2011

Series 9

Date: 10/27/2011

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

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