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JAY LEE GOLDBERG
CRD#: 1012351
IA
Investment Adviser
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Previous Broker
MOSAIC ADVISORSCRD#: 164913 3773 RICHMOND AVENUE
SUITE 700
HOUSTON, TX 77046
Registration History
1985199019952000200520102015202020252 FIRMS1998 - 2002 (3 years)2 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - 2015 (3 years)IAMOSAIC ADVISORS (CRD# 164913)2012 - Present (12 years)BFSC SECURITIES CORPORATION (CRD# 7461)2005 - 2011 (6 years)BSWBT SECURITIES, INC. (CRD# 120145)2003 - 2004 (1 year)BFISERV INVESTOR SERVICES, INC. (CRD# 34637)2002 - 2003 (<1 year)BSTANFORD GROUP COMPANY (CRD# 39285)1998 - 1998 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1998 (5 years)BOPPENHEIMER & CO., INC. (CRD# 630)1989 - 1992 (3 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1989 (<1 year)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1984 - 1989 (5 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1981 - 1984 (2 years)IABBVA WEALTH SOLUTIONS INC. (CRD# 110476)2005 - 2012 (6 years)IASWBT SECURITIES, INC. (CRD# 120145)2004 - 2004 (<1 year)
Disclosure(s)
View By:
5/7/1991
Customer Dispute
Settled
License(s)

State Registrations

IA
Texas 10/12/2012

Current Registration(s)
IA
MOSAIC ADVISORS (CRD#:164913)
3773 RICHMOND AVENUE SUITE 700, HOUSTON, TX 77046
Registered with this firm since 10/12/2012

Previous Registration(s)
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IA
02/17/2012 - 03/31/2015 FSC SECURITIES CORPORATION (CRD#:7461) HOUSTON, TX
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02/16/2012 - 03/31/2015 FSC SECURITIES CORPORATION (CRD#:7461) HOUSTON, TX
IA
11/29/2011 - 02/17/2012 BOSC, INC. (CRD#:17530) HOUSTON, TX
B
11/28/2011 - 02/17/2012 BOSC, INC. (CRD#:17530) HOUSTON, TX
IA
02/17/2005 - 01/12/2012 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) HOUSTON, TX
B
01/25/2005 - 11/28/2011 FSC SECURITIES CORPORATION (CRD#:7461) HOUSTON, TX
IA
01/07/2004 - 11/12/2004 SWBT SECURITIES, INC. (CRD#:120145) HOUSTON, TX
B
05/13/2003 - 11/12/2004 SWBT SECURITIES, INC. (CRD#:120145) HOUSTON, TX
B
08/23/2002 - 05/15/2003 FISERV INVESTOR SERVICES, INC. (CRD#:34637) HOUSTON, TX
IA
11/12/1998 - 08/05/2002 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) HOUSTON, TX
B
11/05/1998 - 08/05/2002 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
B
03/05/1998 - 09/29/1998 STANFORD GROUP COMPANY (CRD#:39285) HOUSTON, TX
B
06/30/1992 - 02/25/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
07/03/1989 - 07/08/1992 OPPENHEIMER & CO., INC. (CRD#:630) NEW YORK, NY
B
05/22/1989 - 11/14/1989 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
04/27/1984 - 05/22/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
11/03/1981 - 04/27/1984 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.