Donald M. Goldberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Merritt Goldberg, who also goes by Donald Merritt Goldberg, Donald Merritt Ziskind Goldberg, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1975. Donald had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2019 - January 15, 2020
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
December 17, 2003 - October 2, 2019
AEPG WEALTH STRATEGIES
July 23, 2002 - December 31, 2002
AEPG WEALTH STRATEGIES
June 7, 1993 - July 13, 2000
WS GRIFFITH SECURITIES, INC.
October 20, 1975 - June 7, 1993
VP DISTRIBUTORS LLC
Primary Firm SEC Registration
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 10/15/1975
Registered Representative ExaminationCurrent Firm
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
CRD#: 116407 / SEC#: 801-60749
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 186,400 |
| AUM (Assets Under Management) | $ 94,632,028,506 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 03/05/2024 | ||
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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