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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

BRETT PAUL GOLDBERG

Advisor at LPL FINANCIAL LLC

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:d398c24f-9d67-8b87-fb29-96d930cc2706

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2001 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: Dec 7, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Dec 7, 2000
First registration: Mar 22, 2001
Dual registered: yes, broker-dealer
Other names: BRETT P GOLDBERG
IAPD individual key: 4273971

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	Feb 24, 2025	n/a	yes	WESTLAKE VILLAGE, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Sep 30, 2016	Mar 6, 2025	no	WESTLAKE VILLAGE, CA\|HAILEY, ID	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 14, 2008	Oct 21, 2016	no	WESTLAKE VILLAGE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 22, 2001	Jul 15, 2008	no	WESTLAKE VILLAGE, CA\|WESTLAKE VILLAGE, 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
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Mar 6, 2025	Feb 24, 2025	-10	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Oct 21, 2016	Sep 30, 2016	-21	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jul 15, 2008	Jul 14, 2008	-1	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 24, 2025 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Sep 30, 2016 to Mar 6, 2025factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 14, 2008 to Oct 21, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 22, 2001 to Jul 15, 2008factForm ADV

Dated events

Occurred
Mar 6, 2025
Advisor changed firm
Brett Paul Goldberg left Wells Fargo Advisors for Lpl Financial Llc (registered 2025-02-24)
Form ADVobserved 4 days ago