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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

RONALD SCOTT GOLDBERG

Advisor at LPL FINANCIAL LLC

SARASOTA, FL

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Search this name across graphsid dfx:ria:a1c5669d-a081-78fa-459c-4f7a65c7df82

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 2, 2003 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 8, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 8, 1994
First registration: Sep 2, 2003
Dual registered: yes, broker-dealer
Other names: RONALD GOLDBERG|RON GOLDBERG
IAPD individual key: 1805056

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
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 11, 2025	n/a	yes	SARASOTA, FL	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Aug 7, 2013	Jul 10, 2025	no	SAINT AUGUSTINE, FL\|SARASOTA, FL\|HOUSTON, TX	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 9, 2009	Jul 18, 2013	no	WINTER PARK, FL\|APOLLO BEACH, FL	Previous registration
COLONIAL ASSET MANAGEMENT INC	n/a	Sep 2, 2003	Oct 29, 2009	no	APOLLO BEACH, FL\|MONTGOMERY, AL\|SEFFNER, FL	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
NEXT FINANCIAL GROUP, INC.	LPL FINANCIAL LLC	Jul 10, 2025	Jul 11, 2025	1	Bulk transfer	Ibd to ibd
WOODBURY FINANCIAL SERVICES, INC.	NEXT FINANCIAL GROUP, INC.	Jul 18, 2013	Aug 7, 2013	20	Firm change	Other
COLONIAL ASSET MANAGEMENT INC	WOODBURY FINANCIAL SERVICES, INC.	Oct 29, 2009	Nov 9, 2009	11	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 11, 2025 to presentfactForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Aug 7, 2013 to Jul 10, 2025factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 9, 2009 to Jul 18, 2013factForm ADV
→ COLONIAL ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Sep 2, 2003 to Oct 29, 2009factForm ADV

Dated events

No dated event names this entity yet.