Richard Goldberg
Richard Goldberg is a registered investment advisor at Citigroup Global Markets INC., based in Pasadena, CA, with 30 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
Citi Wealth Management, Sales, 285 South Lake Avenue, Pasadena, CA, 91101
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Regulatory History (2)
Financial
July 2023Financial
July 2017Other Business Activities
Richard is the President/Owner of Befocus, Inc., selling used books and collectibles through online platforms since 2017. He dedicates minimal time to this non-investment related activity.
Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Previous Registrations
Citicorp Investment Services
Citicorp Investment ServicesBroker
Cal Fed InvestmentsBroker
Liberty Securities CorporationBroker
Cal Fed InvestmentsBroker
Wells Fargo Securities INC.Broker
Essex National Securities, INC.Broker
First Interstate Investments,inc.Broker
Baraban Securities, INC.Broker
State Registrations21 states
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.