WG
WG
Ward Goldberg
15 Years of Experience
Uniondale, NY
3 DisclosuresBrokerSells Insurance
Ward Goldberg is a registered investment advisor at Cetera Investment Advisers LLC, based in Uniondale, NY, with 15 years of industry experience. Ward operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
50 Charles Lindbergh Blvd, Ste 420, Uniondale, NY, 11553
Get directionsHistory
Regulatory History (3)
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Regulatory
January 1991Final
Employment Separation After Allegations
November 1988Customer Dispute
November 1988Closed-No Action
Other Business ActivitiesSells Insurance
Ward works as an agent/broker for Allied Wealth Partners, focusing on fixed insurance sales since 2015. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2023 - Present · 2 yrs 9 mos
Cetera Wealth Services, LLCBroker
August 2023 - Present · 2 yrs 9 mos
Previous Registrations
Securian Financial Services, INC.
May 2021 - August 2023 · 2 yrs 3 mos
Securian Financial Services, INC.Broker
November 2015 - August 2023 · 7 yrs 9 mos
Citicorp Investment ServicesBroker
June 1992 - March 1993 · 9 mos
Citicorp Financial Services,inc.Broker
February 1992 - June 1992 · 4 mos
Dean Witter Reynolds INC.Broker
June 1989 - January 1990 · 7 mos
Commonwealth AssociatesBroker
March 1989 - April 1989 · 1 mo
Gruntal & CO. IncorporatedBroker
November 1988 - January 1989 · 2 mos
Oppenheimer & CO., INC.Broker
April 1987 - November 1988 · 1 yr 7 mos
Dean Witter Reynolds INC.Broker
May 1986 - May 1987 · 1 yr
Mclaughlin, Piven, Vogel INC.Broker
January 1986 - May 1986 · 4 mos
State Registrations8 states
COFLMANJNYOHPATN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.