Steven Goldberg
Steven Goldberg is a registered investment advisor at Osaic Wealth, INC., based in Rehoboth Beach, DE, with 34 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 5 more. Their firm serves 575,512 clients with $230B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers several investment management programs where fees are charged as an annual percentage of your portfolio, typically billed monthly or quarterly. Because individual financial professionals negotiate their own fee schedules and programs vary by platform, exact rates depend on the specific account type and manager selected.
- Advisor Managed Portfolios and Unified Managed Account Programs — Fees vary based on negotiations with your financial professional and the specific asset allocation models or third-party managers chosen.
- Plan Participant Retirement Program — Annual management fees charge up to 3.00% of your account assets, structured as a fixed percentage or a tiered fee schedule.
- Program Annuities — Annual advisory fees for managing outside annuities will not exceed 1.50% of program assets for new accounts.
Account minimums vary widely by program, ranging from $5,500 to $10,000 for certain automated or platform accounts, while other programs depend on the specific investment product or third-party manager.
Location
Rehoboth Beach, DE
Get directionsHistory
Regulatory History (2)
Customer Dispute
February 2020Employment Separation After Allegations
May 2018Other Business ActivitiesSells Insurance
Steven owns two rental properties and spends minimal time collecting rental income. He is also a notary public and an insurance agent offering various insurance products, dedicating about half his time to insurance-related activities. Steven also owns Capital Wealth Management, LLC for business expenses and liability reasons.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Osaic Fa, INC.Broker
Osaic Fa, INC.
Suntrust Advisory Services, INC.
Suntrust Investment Services, INC.
Suntrust Investment Services, INC.Broker
Crestar Securities CorporationBroker
Citizens Brokerage Services, 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.
Exams
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