Daniel Goldberg has been Managing Member and Chief Compliance Officer of Goldberg Financial Advisors since May 2011, is a control person of the firm and directly owns 75% or more of it.
Goldberg Financial Advisors, LLC is an El Segundo, CA firm with $120M under management, 60 clients and 1 adviser in one office, as of its April 2026 filing.
- – present · 15 yearsEl Segundo, CA · Adviser representative · Firm CRD 158147
Investment adviser representative registrations
Daniel Goldberg is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from August 2011; the most recent is Texas, in February 2021.
- CaliforniaSince 11 August 2011
- TexasResidentSince 26 February 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 16 May 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 March 2007 |
| Series 7 | General Securities Representative Examination | 2 March 2007 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Daniel Joshua Goldberg
- CRD
- 5289617
- Firm
- Goldberg Financial Advisors · CRD 158147
- Role
- Managing Member and Chief Compliance Officer
- Office
- 222 PACIFIC COAST HIGHWAY, 10TH FLOOR, El Segundo, CA 90245
- Registration
- Investment adviser registration
- In the industry since
- August 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Daniel Goldberg work?
Daniel Goldberg has been Managing Member and Chief Compliance Officer of Goldberg Financial Advisors, LLC since May 2011, and is a control person of the firm.
Is Daniel Goldberg a financial advisor?
Yes. Daniel Goldberg has a current investment-adviser registration in California and Texas, through Goldberg Financial Advisors since August 2011.
How many years of experience does Daniel Goldberg have?
Daniel Goldberg has 15 years in the financial industry, since August 2011, across 1 adviser firm.
What exams has Daniel Goldberg passed?
Daniel Goldberg has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in March 2007.
Where is Daniel Goldberg based?
Daniel Goldberg’s registered office is in El Segundo, CA.
Is Daniel Goldberg registered with FINRA?
No. Daniel Goldberg has no current broker registration.
How can I verify Daniel Goldberg’s record?
Search CRD 5289617 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Daniel Goldberg’s full registration record.