Jay Goldberg, financial advisor Houston TX
86 score

Jay Goldberg

CRD Number: 1012351
Current Firm: Mosaic Advisors LLC

Jay Goldberg (CRD# 1012351) is an Investment Advisor Representative working at Mosaic Advisors LLC in Houston, TX and has over 34 years of experience in the finance industry. Jay Goldberg has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Mosaic Advisors LLC Houston, TX Jun 2012 - Current 4
Mosaic Wealth Partners LLC Houston, TX Jun 2012 - Current 4
Fsc Securities Corporation Houston, TX Feb 2012 - Current 4
Bosc Houston, TX Nov 2011 - Jan 2012 < 1
Bank Of Texas/bok Financial Houston, TX Nov 2011 - Jan 2012 < 1
Bbva Wealth Solutions Houston, TX Dec 2009 - Nov 2011 1
Compass Bancshares Houston, TX Jan 2005 - Nov 2011 6
Fsc Securities Houston, TX Oct 2004 - Nov 2011 7
Stavis, Margolis Advisory Services, Inc. Houston, TX Oct 2004 - Dec 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1981
S65 NASAA Investment Advisors Law Examination Jan 1997
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Jay L. Goldberg
Phone Number: 713-980-4100
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States


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