DG
DG
Dana Goldfarb
45 Years of Experience
Westlake Village, CA
5 DisclosuresBroker
Dana Goldfarb is a registered investment advisor at Raymond James & Associates, INC., based in Westlake Village, CA, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
3027 Townsgate Road, Suite 100, Westlake Village, CA, 91361
Get directionsHistory
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 2015Settled
Customer Dispute
October 2009Settled
Customer Dispute
June 2009Closed-No Action
Customer Dispute
April 2009Closed-No Action
Customer Dispute
February 2008Settled
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2010 - Present · 16 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2010 - Present · 16 yrs 3 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.