Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Jeffrey Goldberg is a registered representative with MM Ascend Life Investor Services, LLC. Brian has been in the financial services industry since 2007 and has worked for several firms, including Wells Fargo Advisors, LLC, UBS Financial Services Inc., and Wachovia Securities, LLC. Brian is licensed to sell securities in Georgia and Ohio. Brian is also a registered investment advisor representative in Ohio. Brian holds Series 7 and Series 66 securities licenses and the SIE exam. Brian's current firm is MM Ascend Life Investor Services, LLC.
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.
Maintaining registration but not actively providing advisory services
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.
Maintaining registration but not serving clients
1
2
OH
08/04/2015 - Present
MM Ascend Life Investor Services, LLC (CINCINNATI OH)
NC
12/07/2012 - 07/17/2015
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
FL
01/23/2009 - 10/26/2012
UBS FINANCIAL SERVICES INC. (PALM BEACH GARDENS FL)
FL
12/13/2006 - 01/28/2009
WACHOVIA SECURITIES, LLC (WEST PALM BEACH FL)
BOTH
Issued 01/24/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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