Brian R. Goldberg
Professional summary
Brian Richard Goldberg is a registered financial advisor currently at BANYAN TREE ASSET MANAGEMENT, LLC located in Torrance, California and BANYAN TREE SECURITIES, LLC located in Torrance, California.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Brian has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Richard Goldberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 17, 2013 - Present
BANYAN TREE ASSET MANAGEMENT, LLC
Office #1: 21250 Hawthorne Blvd Suite 550, Torrance, CA 90503-5517March 30, 2017 - Present
BANYAN TREE SECURITIES, LLC
Office #1: 21250 Hawthorne Blvd Suite 550, Torrance, CA 90503Office #2: 21250 Hawthorne Blvd Suite 550, Torrance, CA 90503January 17, 2006 - July 24, 2013
BEL AIR SECURITIES LLC
October 9, 2002 - July 31, 2006
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Primary Firm SEC Registration
BANYAN TREE ASSET MANAGEMENT, LLC
CRD#: 168384 / SEC#: 801-78480
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/17/2013)
(3/17/2015)
(9/17/2013)
Exams
FINRA
Current Firm
BANYAN TREE ASSET MANAGEMENT, LLC
CRD#: 168384 / SEC#: 801-78480
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 89 |
| AUM (Assets Under Management) | $ 1,013,708,995 |
Red Flags
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