BG
Brian J. Goldberg
MM ASCEND LIFE INVESTOR SERVICES
Roswell, GA
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CRD#: 5237509
BG
Professional summary
Brian Jeffrey Goldberg, CFP®, who also goes by Brian J Goldberg, is a registered financial advisor currently at MM ASCEND LIFE INVESTOR SERVICES, LLC located in Roswell, Georgia.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian J 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.
MassMutual Ascend Life Insurance Company (MMALIC), located at 191 Rosa Parks Street, Cincinnati, Ohio 45202 is the parent company of MM Ascend Life Investor Services, LLC (MMALIC). MMALIC issues annuities, including registered annuity products. MMALIS serves as the distributor for MMALIC's registered annuities. Brian works for MMALIC's Annuity Sales division. Position: External Wholesaler ; full-time occupation.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Jeffrey Goldberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Jeffrey 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®
Experience
Current
August 4, 2015 - Present
MM ASCEND LIFE INVESTOR SERVICES, LLC
RIA
BD
CRD#: 36451
Roswell, GA
Current
August 3, 2015 - Present
MM ASCEND LIFE INVESTOR SERVICES, LLC
Office #1: 191 Rosa Parks, Cincinnati, OH 45202Office #2: 191 Rosa Parks Street, Cincinnati, OH 45202RIA
BD
CRD#: 36451
CINCINNATI, OH
Past
December 10, 2012 - July 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
December 7, 2012 - July 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
February 13, 2009 - October 26, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PALM BEACH GARDENS, FL
Past
January 23, 2009 - October 26, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PALM BEACH GARDENS, FL
Past
February 23, 2007 - January 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WEST PALM BEACH, FL
Past
December 13, 2006 - January 28, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WEST PALM BEACH, FL
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
Georgia(8/3/2015)
RR
Ohio(8/4/2015)
IAR
Ohio(8/4/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MM ASCEND LIFE INVESTOR SERVICES, LLC
AAG SECURITIES, INC. | MM ASCEND LIFE INVESTOR SERVICES, LLC | GREAT AMERICAN ADVISORS, LLC | GREAT AMERICAN ADVISORS, INC. | GREAT AMERICAN ADVISORS LLC | GAA INSURANCE AGENCY
CRD#: 36451 / SEC#: 801-68927, 8-47309
RIA
Registered Investment Advisory firm - SEC (3/31/2012 Terminated)Alabama
Registered Investment Advisory firm - SEC (4/18/2008 Terminated)Arizona
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)Arkansas
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)California
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/14/2008 Terminated)Connecticut
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Delaware
Registered Investment Advisory firm - SEC (8/29/2018 Terminated)Georgia
Registered Investment Advisory firm - SEC (11/29/2023 Terminated)Idaho
Registered Investment Advisory firm - SEC (4/11/2008 Terminated)Illinois
Registered Investment Advisory firm - SEC (4/1/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (4/21/2008 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/14/2008 Terminated)Louisiana
Registered Investment Advisory firm - SEC (6/24/2008 Terminated)Maryland
Registered Investment Advisory firm - SEC (9/14/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/17/2008 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/4/2023 Terminated)Mississippi
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (5/14/2008 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)North Carolina
Registered Investment Advisory firm - SEC (11/30/2023 Terminated)North Dakota
Registered Investment Advisory firm - SEC (4/14/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (7/12/2011 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/30/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/1/2023 Terminated)South Carolina
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)South Dakota
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/10/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Utah
Registered Investment Advisory firm - SEC (11/27/2023 Terminated)Virginia
Registered Investment Advisory firm - SEC (4/1/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)West Virginia
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/10/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
191 Rosa Parks 12th Floor, Cincinnati, OH 45202
Mailing Address
191 Rosa Parks 12th Floor, Cincinnati, OH 45202
Phone number
(513) 361-9525
Established
Ohio since 06/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
12
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
