Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Alan Goldberg is a financial advisor registered with RBC Capital Markets, LLC and has been in the industry since 1993. Benjamin has been associated with RBC Capital Markets, LLC since February 2013. Previous firms Benjamin was associated with include Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Banc of America Investment Services, Inc., Morgan Stanley DW Inc., Smith Barney Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Crowell, Weedon & Co. and Columbus Financial, Inc. Benjamin is licensed in multiple states including California, Texas, Alabama, Alaska, Arizona, Arkansas, Colorado, Florida, Idaho, Kentucky, Michigan, Nevada, New Hampshire, New York, North Carolina, Oregon, South Carolina, Utah, Washington, West Virginia and Wyoming. Benjamin has obtained the Series 3, 7, 8, 9, 10, 63 and 65 licenses and has passed the Securities Industry Essentials Exam. Benjamin is also a member of the Long Beach Century Club.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
08/23/2016 - Present
RBC Capital Markets, LLC (SEAL BEACH CA)
CA
07/01/2011 - 02/27/2013
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
10/15/2007 - 07/08/2011
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
CA
08/02/2004 - 10/16/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
NY
08/24/1998 - 08/06/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/19/1996 - 08/28/1998
SMITH BARNEY INC. (NEW YORK NY)
NY
09/07/1994 - 08/20/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
02/17/1994 - 09/19/1994
CROWELL, WEEDON & CO. (LOS ANGELES CA)
CA
05/13/1993 - 03/10/1994
COLUMBUS FINANCIAL, INC. (BEVERLY HILLS CA)
IA
Issued 11/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/01/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/1999
Series 3 - National Commodity Futures Examination
BC
Issued 05/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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