CG
Charles H. Goldberg
FINANCIAL INNOVATIONS
Atlanta, GA 30328
Some features on this profile are disabled
CRD#: 4877610
CG
Professional summary
Charles Howard Goldberg, who also goes by Charles H Goldberg, is a registered financial advisor currently at FINANCIAL INNOVATIONS, LLC located in Atlanta, Georgia and OSAIC WEALTH, INC. located in Atlanta, Georgia.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Charles has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles H 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.
1. UNITED PROPERTY SERVICES, LLC; NOT INVESTMENT RELATED; 4514 CHAMBLEE DUNWOODY RD #190, ATLANTA, GA 30338; MANAGEING MY RENTAL PROPERTIES; OWNER; 01/2001; 12 HRS/MONTH; 0HRS/TRADEDAY; NO COMPENSATION - COLLECT INCOME FROM LLC; COLLECT RENT, PAY BILLS, ACCOUNTING AND RECORD KEEPING; MANAGE REPAIRS. 2. CPA; not investment related;4509 Village Springs Place, Atlanta, GA 30338; tax return preparation; CPA; 2/1/2017;15 hrs/month; 0 hrs during trading; prepare federal and state(Georgia) income tax returns for several individual clients for a fixed fee. 3. Financial Innovations, LLC; investment related; 6111 Peachtree Dunwoody Rd,#F101,Atlanta,GA 30328;financial;financial advisor;2011;40 hrs/month;6.5 hrs during trading; financial planning, investment advisor. 4. CHARLES GOLDBERG POSITION: Financial Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2011 ADDRESS: 6111 Peachtree Dunwoody Rd, Ste F101, Atlanta GA 30338, United States DESCRIPTION: Long Term Care Insurance, life insurance, disability insurance as part of comprehensive financial planning.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Howard Goldberg'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 10, 2012 - Present
FINANCIAL INNOVATIONS, LLC
Office #1: 6111 Peachtree Dunwoody Road Suite F101, Atlanta, GA 30328RIA
CRD#: 142769
Atlanta, GA
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 6111 Peachtree Dunwoody Road Suite F101, Atlanta, GA 30328RIA
BD
CRD#: 23131
ATLANTA, GA
Past
December 16, 2011 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
September 3, 2010 - December 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ATLANTA, GA
Past
September 1, 2010 - December 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ATLANTA, GA
Past
January 24, 2005 - September 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ALPHARETTA, GA
Past
January 6, 2005 - September 3, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ALPHARETTA, GA
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".
FI
FINANCIAL INNOVATIONS, LLC
FINANCIAL INNOVATIONS, LLC
CRD#: 142769 / SEC#: 801-67516
RIA
Registered Investment Advisory firm - (1/26/2007 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(8/23/2024)
RR
California(8/23/2024)
RR
Connecticut(8/23/2024)
RR
Florida(8/23/2024)
IAR
Georgia(4/10/2012)
RR
Georgia(8/23/2024)
RR
New York(8/23/2024)
RR
Oregon(8/23/2024)
RR
Tennessee(8/23/2024)
IAR
Texas(7/1/2015)
RR
Texas(8/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FINANCIAL INNOVATIONS, LLC
FINANCIAL INNOVATIONS, LLC
CRD#: 142769 / SEC#: 801-67516
RIA
Registered Investment Advisory firm - (1/26/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6111 Peachtree Dunwoody Road Suite F101, Atlanta, GA 30328
Mailing Address
Phone number
(404) 458-0065
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 680 |
| AUM (Assets Under Management) | $ 400,093,442 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
