Mitchell Owen Goldberg

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2005 → 07/2025
  Next Financial Group
  Melville, NY
• 07/2025 → Present
  Lpl Financial Llc
  Melville, NY

Previous Registrations

• 2013-06-07 → 2025-07-10
  Next Financial Group, Inc.
  Boca Raton, FL
  Dix Hills, NY
  Woodbury, NY
  Melville, NY
  Sacramento, CA
  Roseville, CA
• 2004-02-20 → 2005-12-07
  Oppenheimer & Co. Inc.
  Hauppauge, NY

Other Businesses

1- 07/2025 - ClientFirst Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/01/2017 - 0 hours per month/ during trading 2- 07/2025 - Long Island Elite - Non-profit volunteer (not on board) - Membership committee co-chair - Not investment Related - Huntington, NY - Start Date 04/25/2025 - 4 hours per month/ 2 hours during trading 3- 07/2025 - Long Island Elite Networking Group - Non-Profit Board Member - Not investment Related - Huntington, NY - Start Date 04/25/2025 - 4 hours per month/ 2 hours during trading 4- 07/2025 - ACLD- Non-profit volunteer (not on board) - Enviable Life Ball event committee - honoree this year - Not investment Related - Bethpage, NY - Start Date 05/15/2025 - 6 hours per month/ 2 hours during trading 5- 07/2025 - ACLD- Non-profit volunteer (not on board) - Investment Committee member - Not investment Related - Bethpage, NY - Start Date 09/01/2023 - 2 hours per month/ 0 hours during trading 6- 07/2025 - ACLD- Non-Profit Board Member - Board member - Foundation Board - Not investment Related - Bethpage, NY - Start Date 07/01/2023 - 4 hours per month/ 0 hours during trading 7- 07/2025 - Sierra Ridge Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/11/2022 - 140 hours per month/ 120 hours during trading 8- 07/2025 - Sierra Ridge Advisory Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 11/11/2022 - 120 hours per month/ 120 hours during trading 9- 07/2025 - FPA chapter of Long Island - Non-Profit Board Member - Not Investment Related - Hauppauge, NY - Start Date 07/14/2020 - 2 hours per month/ 1 hour during trading 10- 07/2025 - ClientFirst Strategy, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/05/2005 - 140 hours per month/ 130 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-08-27
• S63 Uniform Securities Agent State Law Examination
  1990-05-01