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Aaron David Goldberg

Awm Capital, LLC

Los Angeles, CA

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Current Employers
Awm Capital, Llc

1 N. 1St Street Suite 525, Phoenix, AZ 85004 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-09
TX RA APPROVED 2023-04-19
  • CA RA
    APPROVED
    Since 2025-01-09
  • TX RA
    APPROVED
    Since 2023-04-19

Branch Locations

612 S Broadway Floor 4, Los Angeles, CA 90014 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Financial Group San Diego CA 08/2016 08/2017
Lincoln Capital San Diego CA 10/2015 09/2020
Self-Employed Encinitas CA 08/2008 12/2019
Independent Financial Group San Diego CA 08/2017 09/2020
Awm Capital, Llc Phoenix AZ 09/2020 Present
  • 08/2016 → 08/2017
    Independent Financial Group
    San Diego, CA
  • 10/2015 → 09/2020
    Lincoln Capital
    San Diego, CA
  • 08/2008 → 12/2019
    Self-Employed
    Encinitas, CA
  • 08/2017 → 09/2020
    Independent Financial Group
    San Diego, CA
  • 09/2020 → Present
    Awm Capital, Llc
    Phoenix, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-15
  • S66 Uniform Combined State Law Examination
    2016-12-15
Designations
Other Names
  • Aaron David Goldberg

View on SEC IAPD

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Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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