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Dana Goldfarb

Raymond James & Associates, INC.
46 Years of Experience
Westlake Village, CA
5 DisclosuresBroker
View SEC Summary
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Dana Goldfarb is a registered investment advisor at Raymond James & Associates, INC., based in Westlake Village, CA, with 46 years of industry experience. Dana is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3027 Townsgate Road, Suite 100, Westlake Village, CA, 91361

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History

Regulatory History (5)
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
May 2015
Settled
Customer Dispute
October 2009
Settled
Customer Dispute
June 2009
Closed-No Action
Customer Dispute
April 2009
Closed-No Action
Customer Dispute
February 2008
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2010 - Present · 16 yrs 8 mos
Raymond James & Associates, INC.Broker
February 2010 - Present · 16 yrs 8 mos
Previous Registrations
Oppenheimer & CO. INC.
September 2005 - February 2010 · 4 yrs 5 mos
Oppenheimer & CO. INC.Broker
November 2004 - February 2010 · 5 yrs 3 mos
Wachovia Securities, LLC
November 2002 - November 2004 · 2 yrs
Wachovia Securities, LLCBroker
November 2000 - November 2004 · 4 yrs
Sutro & CO. IncorporatedBroker
April 1995 - December 2000 · 5 yrs 8 mos
Everen Securities, INC.Broker
September 1990 - April 1995 · 4 yrs 7 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
June 1987 - September 1990 · 3 yrs 3 mos
Painewebber IncorporatedBroker
April 1980 - June 1987 · 7 yrs 2 mos
State Registrations26 states
AZCACOFLGAHIIDILINMANCNJNVNYOHOKORPASDTNTXUTVAWAWIWY
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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