Benjamin Alan Goldberg

CRD 2347353 · Wells Fargo Advisors · Seal Beach, CA

IA RegisteredBroker

Also appears in the source record as: Ben Goldberg

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 3Series 7Series 10Series 9Series 8Series 65Series 63
Registered states (18): Arizona · California · Colorado · Florida · Idaho · Kentucky · Nebraska · Nevada · New Hampshire · New York · North Carolina · Oklahoma · Oregon · South Carolina · Texas · Utah · Virginia · Washington
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2347353 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (16)

From the source registration record · current first

Wells Fargo Clearing Services, LLCCurrent
Seal Beach, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Seal Beach, CA · IA capacity

start not retrieved → present
Wells Fargo AdvisorsCurrent
Seal Beach, CA · IA capacity

start not retrieved → present
Rbc Capital Markets, LLC
Seal Beach, CA · IA capacity

Feb 4, 2013 → Aug 15, 2025
Rbc Capital Markets, LLC
Seal Beach, CA · BC capacity

Feb 1, 2013 → Aug 15, 2025
Citigroup Global Markets Inc.
Los Angeles, CA · IA capacity

Jul 7, 2011 → Feb 27, 2013
Citigroup Global Markets Inc.
Los Angeles, CA · BC capacity

Jul 1, 2011 → Feb 27, 2013
Deutsche Bank Securities Inc.
Los Angeles, CA · IA capacity

Oct 15, 2007 → Jul 8, 2011
Deutsche Bank Securities Inc.
Los Angeles, CA · BC capacity

Oct 15, 2007 → Jul 8, 2011
Banc Of America Investment Services, Inc.
Los Angeles, CA · IA capacity

Aug 2, 2004 → Oct 16, 2007
Banc Of America Investment Services, Inc.
Los Angeles, CA · BC capacity

Aug 2, 2004 → Oct 16, 2007
Morgan Stanley
Sherman Oak, CA · IA capacity

Sep 14, 1998 → Aug 6, 2004
Morgan Stanley Dw Inc.
Purchase, NY · BC capacity

Aug 24, 1998 → Aug 6, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Sep 7, 1994 → Aug 20, 1996
Crowell, Weedon & Co.
Los Angeles, CA · BC capacity

Feb 17, 1994 → Sep 19, 1994
Columbus Financial, Inc.
Beverly Hills, CA · BC capacity

May 13, 1993 → Mar 10, 1994

Source & corrections

Where this page comes from

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