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DG

Daniel J. Goldberg

GOLDBERG FINANCIAL ADVISORS
EL SEGUNDO, CA 90245
Some features on this profile are disabled
CRD#: 5289617
DG

Professional summary

Daniel Joshua Goldberg, CFA is a registered financial advisor currently at GOLDBERG FINANCIAL ADVISORS, LLC located in El Segundo, California.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Daniel has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

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.
MR. GOLDBERG FROM TIME TO TIME MAY PERFORM STRATEGIC PLANNING AND CORPORATE DEVELOPMENT CONSULTING SERVICES FOR VARIOUS COMPANIES. SUCH CONSULTING SERVICES ARE NOT INVESTMENT ADVISORY SERVICES. HE MAY SPEND UP TO 20% OF HIS TIME ON THESE ACTIVITIES. HE RECEIVES COMPENSATION FOR HIS WORK AS A CONSULTANT. COMPANIES THAT ENGAGE HIM AS A CONSULTANT WILL NOT BE SOLICITED TO INVEST THROUGH OUR FIRM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Joshua 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®
CFA

Chartered Financial Analyst

Experience

Current

August 11, 2011 - Present

GOLDBERG FINANCIAL ADVISORS, LLC

Office #1: 222 Pacific Coast Highway 10th Floor, El Segundo, CA 90245
RIA
CRD#: 158147
EL SEGUNDO, CA
Past

March 5, 2007 - May 2, 2008

SYNERGY ADVISORS, LLC

BD
CRD#: 128264
EL SEGUNDO, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(8/11/2011)
IAR
Texas
(2/26/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/16/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/2/2007
General Securities Representative Examination

Current Firm

GF
GOLDBERG FINANCIAL ADVISORS, LLC
GOLDBERG FINANCIAL ADVISORS, LLC

CRD#: 158147 / SEC#:

California
Registered Investment Advisory firm - (8/8/2011 Approved)
Texas
Registered Investment Advisory firm - (2/24/2021 Conditional Restricted)
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Contact information

Main Address
222 Pacific Coast Highway 10th Floor, El Segundo, CA 90245
Mailing Address
Phone number
(310) 995-3396
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts217
AUM (Assets Under Management)$ 98,893,406

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.

Company Information

GOLDBERG FINANCIAL ADVISORS, LLC

CRD#: 158147El Segundo, CA 90245

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