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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

BENJAMIN ALAN GOLDBERG

Advisor at WELLS FARGO ADVISORS

SEAL BEACH, CA

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Search this name across graphsid dfx:ria:1cf41262-2199-65fe-0d7f-da19c0e201d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 14, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 14, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 14, 1993
First registration: Sep 14, 1998
Dual registered: yes, broker-dealer
Other names: BEN GOLDBERG
IAPD individual key: 2347353

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Aug 7, 2025	n/a	yes	SEAL BEACH, CA	Current employment
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 4, 2013	Aug 15, 2025	no	SEAL BEACH, CA\|Huntington Beach, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jul 7, 2011	Feb 27, 2013	no	LOS ANGELES, CA\|SAN FRANCISCO, CA\|FOUNTAIN VALLEY, CA\|LOS ANGELES, CA\|SAN PEDRO, CA	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Oct 15, 2007	Jul 8, 2011	no	Los Angeles, CA\|LOS ANGELES, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Aug 2, 2004	Oct 16, 2007	no	LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 14, 1998	Aug 6, 2004	no	SHERMAN OAK, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RBC CAPITAL MARKETS, LLC	WELLS FARGO ADVISORS	Aug 15, 2025	Aug 7, 2025	-8	Firm change	Ibd to wirehouse
CITIGROUP GLOBAL MARKETS INC.	RBC CAPITAL MARKETS, LLC	Feb 27, 2013	Feb 4, 2013	-23	Firm change	Other
DEUTSCHE BANK SECURITIES INC.	CITIGROUP GLOBAL MARKETS INC.	Jul 8, 2011	Jul 7, 2011	-1	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	DEUTSCHE BANK SECURITIES INC.	Oct 16, 2007	Oct 15, 2007	-1	Firm change	Other
MORGAN STANLEY DW INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Aug 6, 2004	Aug 2, 2004	-4	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
31194:19616:CA:2025-08-15	Aug 15, 2025	Aug 7, 2025	HUNTINGTON BEACH, CA	Firm change

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Aug 7, 2025 to presentfactForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 4, 2013 to Aug 15, 2025factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jul 7, 2011 to Feb 27, 2013factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Oct 15, 2007 to Jul 8, 2011factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 2, 2004 to Oct 16, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 14, 1998 to Aug 6, 2004factForm ADV

Dated events

Occurred
Aug 15, 2025
Advisor changed firm
Benjamin Alan Goldberg left Rbc Capital Markets, Llc for Wells Fargo Advisors (registered 2025-08-07)
Form ADVobserved 4 days ago