Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Goldberg is a financial advisor registered with Citigroup Global Markets Inc. in Rolling Hills Estates, California. Richard has been in the financial services industry since 1995. Richard specializes in financial planning, portfolio management for individuals and businesses, and providing security ratings and other advisory services. Richard is licensed to provide investment advice in Arizona, California, Florida, Georgia, Idaho, Massachusetts, Minnesota, Nevada, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, Washington, and Wisconsin. Richard has been registered with Citigroup Global Markets Inc. since 2007. Prior to that Richard was registered with Citicorp Investment Services from 2003 to 2007, Cal Fed Investments from 2000 to 2003, Liberty Securities Corporation from 1999 to 2000, Cal Fed Investments from 1997 to 1999, Wells Fargo Securities Inc. from 1996 to 1997, First Interstate Investments, Inc. from 1995 to 1996, Essex National Securities, Inc. from 1995 to 1995, and Baraban Securities, Inc. from 1995 to 1995.
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.
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.
Asset allocation advice
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.
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2
CA
05/29/2007 - Present
Citigroup Global Markets Inc. (Newbury Park CA)
CA
02/05/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (ROLLING HILLS CA)
CA
01/26/2000 - 02/05/2003
CAL FED INVESTMENTS (SACRAMENTO CA)
NY
06/01/1999 - 01/31/2000
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
CA
04/14/1997 - 05/28/1999
CAL FED INVESTMENTS (SACRAMENTO CA)
CA
07/15/1996 - 03/28/1997
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
10/05/1995 - 07/15/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
10/13/1995 - 11/15/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
CA
03/23/1995 - 10/02/1995
BARABAN SECURITIES, INC. (LOS ANGELES CA)
BOTH
Issued 12/28/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/22/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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MIAX Emerald, LLC
M
MIAX PEARL, LLC
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Miami International Securities Exchange, LLC
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NYSE American LLC
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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 MRX, LLC
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Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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