Daniel Zachary Goldberg

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

Authority	Category	Status	Date
AL	RA	APPROVED	2024-03-04
NE	RA	APPROVED	2019-01-23
TX	RA	APPROVED_RES	2019-01-23
CO	RA	APPROVED	2016-04-15

AL RA
APPROVED

Since 2024-03-04
NE RA
APPROVED

Since 2019-01-23
TX RA
APPROVED_RES

Since 2019-01-23
CO RA
APPROVED

Since 2016-04-15

Branch Locations

Aurora, CO • 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

Organization	City	State	From	To
Royal Alliance Goldberg Investment Advisors	Greenwood Village	CO	11/2015	12/2018
City Of Aurora	Aurora	CO	07/2004	Present
Osaic Wealth Goldberg Zessin Investment, Llc	Greenwood Village	CO	01/2019	Present

11/2015 → 12/2018

Royal Alliance Goldberg Investment Advisors

Greenwood Village, CO
07/2004 → Present

City Of Aurora

Aurora, CO
01/2019 → Present

Osaic Wealth Goldberg Zessin Investment, Llc

Greenwood Village, CO

Other Businesses

1) AUTUMN ACCOUNTING LLC; POSITION: Partner NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 10/01/2016; ADDRESS: 2404 Elkhorn Ranch St, Parker CO 80138; DESCRIPTION: Income tax planning & preparation. 2) DANIEL GOLDBERG - ENROLLED AGENT POSITION: Enrolled Agent NATURE: Earned IRS Enrolled Agent Certification INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 03/30/2018 ADDRESS: 5650 Greenwood Plaza Blvd, Suite 140, Greenwood Village CO 80111, United States DESCRIPTION: File tax returns for clients. Can represent clientsin front of the IRS. 3) GOLDBERG ZESSIN INVESTMENTS LLC POSITION: Managing Partner NATURE: Partnership INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2019 ADDRESS: 5650 Greenwood Plaza Blvd #140, Greenwood Village CO 80111, United States DESCRIPTION: Managing Daily Activities

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-04-15

S66 Uniform Combined State Law Examination

2016-04-15

View on SEC IAPD