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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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SG

Samuel Goldberg

MOSLEY WEALTH MANAGEMENT
Anaheim, CA 92806
Some features on this profile are disabled
CRD#: 6152676
SG

Professional summary

Samuel Goldberg, CFP®, who also goes by Samuel Yehuda Goldberg, Sam Goldberg, Samuel Shmuli Goldberg, Shmuli Goldberg, Samuel Shmuli, is a registered financial advisor currently at MOSLEY WEALTH MANAGEMENT, INC. located in Anaheim, California.

Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Samuel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Samuel Yehuda Goldberg | Sam Goldberg | Samuel Shmuli Goldberg | Shmuli Goldberg | Samuel Shmuli

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) - RIA

Click below to view Samuel Goldberg's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

April 22, 2026 - Present

MOSLEY WEALTH MANAGEMENT, INC.

Office #1: 2401 E. Katella Avenue Suite 270, Anaheim, CA 92806
RIA
CRD#: 318592
Anaheim, CA
Past

June 20, 2024 - April 24, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LOS ANGELES, CA
Past

June 19, 2024 - April 24, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LOS ANGELES, CA
Past

November 16, 2022 - March 21, 2024

BELPOINTE ASSET MANAGEMENT LLC

RIA
CRD#: 143440
Los Angeles, CA
Past

October 20, 2021 - October 28, 2022

COOPER MCMANUS

RIA
CRD#: 111458
IRVINE, CA
Past

October 19, 2021 - November 14, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Irvine, CA
Past

January 27, 2020 - June 5, 2020

CANTELLA & CO., INC.

BD
CRD#: 13905
Los Angeles, CA
Past

January 24, 2020 - June 5, 2020

CANTELLA & CO., INC.

RIA
CRD#: 13905
Los Angeles, CA
Past

February 16, 2018 - December 18, 2018

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
BELLEVUE, WA
Past

December 1, 2017 - December 18, 2018

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
BELLEVUE, WA
Past

January 1, 2014 - November 30, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SEATTLE, WA

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".
MW
MOSLEY WEALTH MANAGEMENT, INC.
MOSLEY WEALTH MANAGEMENT, INC.

CRD#: 318592 / SEC#: 801-129053

RIA
Registered Investment Advisory firm - (11/20/2023 Approved)
Arizona
Registered Investment Advisory firm - (11/27/2023 Terminated)
California
Registered Investment Advisory firm - (12/27/2023 Terminated)
Louisiana
Registered Investment Advisory firm - (11/28/2023 Terminated)
Texas
Registered Investment Advisory firm - (11/27/2023 Terminated)

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
(4/22/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/14/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/29/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/30/2013
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MW
MOSLEY WEALTH MANAGEMENT, INC.
MOSLEY WEALTH MANAGEMENT, INC.

CRD#: 318592 / SEC#: 801-129053

RIA
Registered Investment Advisory firm - (11/20/2023 Approved)
Arizona
Registered Investment Advisory firm - (11/27/2023 Terminated)
California
Registered Investment Advisory firm - (12/27/2023 Terminated)
Louisiana
Registered Investment Advisory firm - (11/28/2023 Terminated)
Texas
Registered Investment Advisory firm - (11/27/2023 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2401 E. Katella Avenue Suite 270, Anaheim, CA 92806
Mailing Address
Phone number
(714) 421-4288
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/17/2026)

Regulatory assets under management

Total Number of Accounts1,393
AUM (Assets Under Management)$ 279,450,769

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

MOSLEY WEALTH MANAGEMENT, INC.

CRD#: 318592Anaheim, CA 92806

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