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RIA / WealthAdvisorCertified Financial Planner44 years in industry

JAY LEE GOLDBERG

Advisor at MOSAIC ADVISORS

HOUSTON, TX

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Search this name across graphsid dfx:ria:4bd23a05-6d23-e875-24b4-a9d2bc978d76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 12, 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: MOSAIC ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 12, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Nov 12, 1981
First registration: Nov 12, 1998
Dual registered: no
IAPD individual key: 1012351

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
MOSAIC ADVISORS	Independent wealth	Oct 12, 2012	n/a	yes	HOUSTON, TX	Current employment
FSC SECURITIES CORPORATION	Former SEC adviser	Feb 17, 2012	Mar 31, 2015	no	ATLANTA, GA\|HOUSTON, TX	Previous registration
BOK FINANCIAL ADVISORS	Bd affiliated wealth	Nov 29, 2011	Feb 17, 2012	no	Houston, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Feb 17, 2005	Jan 12, 2012	no	HOUSTON, TX	Previous registration
AMEGY INVESTMENTS, INC.	Former SEC adviser	Jan 7, 2004	Nov 12, 2004	no	HOUSTON, TX	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Nov 12, 1998	Aug 5, 2002	no	HOUSTON, TX	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
FSC SECURITIES CORPORATION	MOSAIC ADVISORS	Mar 31, 2015	Oct 12, 2012	-900	Firm change after gap	Other
BOK FINANCIAL ADVISORS	FSC SECURITIES CORPORATION	Feb 17, 2012	Feb 17, 2012	0	Firm change	Other
PNC MANAGED ACCOUNT SOLUTIONS, INC.	BOK FINANCIAL ADVISORS	Jan 12, 2012	Nov 29, 2011	-44	Firm change after gap	Other
AMEGY INVESTMENTS, INC.	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Nov 12, 2004	Feb 17, 2005	97	Firm change	Other
RAYMOND JAMES & ASSOCIATES, INC.	AMEGY INVESTMENTS, INC.	Aug 5, 2002	Jan 7, 2004	520	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
7461:164913:TX:2015-03-31	Mar 31, 2015	Oct 12, 2012	HOUSTON, TX	Firm change after gap

Relationships

Registered with (6)

→ MOSAIC ADVISORSRegistered adviserregistration: current employment
Oct 12, 2012 to presentfactForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 17, 2012 to Mar 31, 2015factForm ADV
→ BOK FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Nov 29, 2011 to Feb 17, 2012factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Feb 17, 2005 to Jan 12, 2012factForm ADV
→ AMEGY INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 7, 2004 to Nov 12, 2004factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Nov 12, 1998 to Aug 5, 2002factForm ADV

Dated events

No dated event names this entity yet.