Richard Goldberg
Richard Goldberg is a CFP, ChFC-designated registered investment advisor at Principal Securities, INC., based in Coral Springs, FL, with 38 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 48,723 clients with $15B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Principal Securities offers investment management through third-party money managers. The fees you pay depend on the specific program you choose and the amount you invest.
Under the Investment Adviser arrangement, Principal Securities charges a separate advisory fee, which is negotiable but will not exceed the following:
SEI Investment Management Corporation (Managed Account Solutions):
- Up to 1.75% annually on assets up to $500,000
- Up to 1.20% annually on assets between $500,001 and $999,999
- Up to 1.10% annually on assets of $1 million and up
SEI Investment Management Corporation (Mutual Fund Model Program):
- Up to 1.75% annually on assets up to $500,000
- Up to 1.20% annually on assets between $500,001 and $999,999
- Up to 1.10% annually on assets between $1,000,000 and $2,000,000
- Up to 0.90% annually on assets of $2,000,001 and up
Fees are collected quarterly.
Under the Promoter arrangement, you don't pay Principal Securities any fees directly. The TPMM calculates and collects all fees and then pays a portion to Principal Securities as a promoter's fee, ranging from 0.07% to 1.5% of assets or up to 50% of the advisory fee.
Location
1750 N University Dr Ste 221, Coral Springs, FL, 33071
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Richard receives renewal commissions for disability and dental insurance since 2010 and is an outside insurance broker for life, long-term care, disability, and fixed annuities since 2014. He is also the owner of CRG Financial Group, an LLC established for tax purposes, but dedicates minimal time to it.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Guardian Investor Services CorporationBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations29 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.