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Joel Goldberg

Wells Fargo Advisors
25 Years of Experience
San Luis Obispo, CA
1 DisclosureBroker
View SEC Summary
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Joel Goldberg is a registered investment advisor at Wells Fargo Advisors, based in San Luis Obispo, CA, with 25 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B

Fee Structure

Minimum Investment:$250K
  • Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.

The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.

One-Time Plan:Up to $25,000
View Full SEC Brochure

Location

1160 Marsh St, Stes 200 & 300, [Lm*/Le-Rbo], San Luis Obispo, CA, 93401

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2016
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
September 2012 - Present · 13 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
September 2012 - Present · 13 yrs 10 mos
Previous Registrations
Chase Investment Services CORP.
May 2009 - September 2012 · 3 yrs 4 mos
Chase Investment Services CORP.Broker
May 2009 - September 2012 · 3 yrs 4 mos
Wamu Investments, INC.
June 2003 - May 2009 · 5 yrs 11 mos
Wamu Investments, INC.Broker
June 2003 - May 2009 · 5 yrs 11 mos
Citicorp Investment ServicesBroker
March 2003 - June 2003 · 3 mos
Wm Financial Services, INC.Broker
May 2001 - October 2002 · 1 yr 5 mos
AXA Advisors, LLCBroker
November 2000 - March 2001 · 4 mos
Metlife Securities INC.Broker
January 2000 - October 2000 · 9 mos
Metropolitan Life Insurance CompanyBroker
January 2000 - October 2000 · 9 mos
State Registrations9 states
AZCAFLIDMANVTNTXWA
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.
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