Bert H. Goldberg

LIFEMARK SECURITIES

Chandler, AZ

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CRD#: 725334

Professional summary

Bert Harvey Goldberg is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Chandler, Arizona.

Bert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Bert has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bert Harvey Goldberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Bert Harvey 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®

None

Experience

Current

April 1, 2024 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Chandler, AZ

Current

January 29, 2007 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Chandler, AZ

Past

January 16, 2007 - January 30, 2007

BROOKSTONE SECURITIES, INC.

CRD#: 13366

LAKELAND, FL

Past

October 31, 2005 - January 19, 2007

OSAIC SERVICES, INC.

CRD#: 133763

SCOTTSDALE, AZ

Past

January 2, 2004 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 31, 2002 - December 19, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

February 23, 1995 - December 19, 2003

VERAVEST INVESTMENT ADVISORS, INC.

RIA

CRD#: 105796

PHOENIX, AZ

Past

March 5, 1981 - May 28, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

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

Arizona
(1/29/2007)

IAR

Arizona
(4/1/2024)

California
(1/29/2007)

Massachusetts
(1/29/2007)

Texas
(1/22/2016)

IAR

Texas
(11/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/20/2024

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/23/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/1993

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/16/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/1981

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/18/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

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.

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Bert H. Goldberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bert Harvey Goldberg's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Bert Harvey Goldberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

BROOKSTONE SECURITIES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

VERAVEST INVESTMENTS, INC.

VERAVEST INVESTMENT ADVISORS, INC.

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/20/2024

Series 65

Date: 1/23/1995

Series 63

Date: 10/25/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/16/1993

Series 22

Date: 5/16/1985

Series 6

Date: 3/3/1981

Series 24

Date: 8/18/2000

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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