Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Roy Goldberg is a financial advisor at Citigroup Global Markets Inc. Richard has been in the securities industry since 1995. Richard holds a Series 66 license, a Series 63 license, a Series 7 license and a SIE license. Richard is registered to provide investment advice in 18 states, including California, Arizona, Florida, Georgia, Idaho, Massachusetts, Minnesota, Nevada, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, Washington, and Wisconsin. Richard also has a past affiliation with CitiCorp Investment Services, Cal Fed Investments, Liberty Securities Corporation, and Essex National Securities, Inc. Richard specializes in portfolio management for individuals and businesses, financial planning, and asset allocation advice. Richard is committed to providing clients with personalized financial advice and helping them reach their financial goals.
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 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/1995
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
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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