Benjamin Alan Goldberg

Current Employers

Employment History

• 02/2013 → 08/2025
  Rbc Capital Markets, Llc
  Long Beach, CA
• 10/2016 → 08/2025
  City National Bank
  Long Beach, CA
• 08/2025 → Present
  Wells Fargo Clearing Services, Llc
  Seal Beach, CA

Previous Registrations

• 2013-02-04 → 2025-08-15
  Rbc Capital Markets, Llc
  Seal Beach, CA
  Huntington Beach, CA
• 2011-07-07 → 2013-02-27
  Citigroup Global Markets Inc.
  Los Angeles, CA
  San Francisco, CA
  Fountain Valley, CA
  Los Angeles, CA
  San Pedro, CA
• 2007-10-15 → 2011-07-08
  Deutsche Bank Securities Inc.
  Los Angeles, CA
  Los Angeles, CA
• 2004-08-02 → 2007-10-16
  Banc Of America Investment Services, Inc.
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
• 1998-09-14 → 2004-08-06
  Morgan Stanley Dw Inc.
  Sherman Oak, CA

Other Businesses

(1) LONG BEACH CENTURY CLUB; ADDRESS: PO BOX 3969 LONG BEACH CA 90803; BUSINESS DESCRIPTION: SUPPORTING ATHLETICS; NOT INVESTMENT RELATED; START DATE: 11/07/2016; CAPACITY: BOARD OF DIRECTORS; DUTIES: FUNDRAISING; HOURS DEVOTED PER WEEK: .75; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: NONE (2) NAME OF ENTITY: Broadmoor Homeowners Association Board of Directors ADDRESS: Admiralty & Grimaud-Huntington Harbour Huntington Beach, CA 92649 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Homeowners Association Board of Directors CAPACITY: Director START DATE: 7/01/2021 DUTIES: Vote on contracts for maintenance & improvements, handle neighbor complaints and issues not able to be resolved by the management company. HOURS DEVOTED PER MONTH: 5 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: City of Huntington Beach ADDRESS: 2000 Main Street Huntington Beach, CA. 92648 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: City Government START DATE: 09.07.23 CAPACITY: Committee/Council Member (not associated with the Board of Directors) DUTIES: evaluate current and future infrastructure throughout the city of Huntington Beach. We will also be addressing the communications infrastructure current and future. HOURS DEVOTED PER MONTH: 2 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-11-02
• S63 Uniform Securities Agent State Law Examination
  1993-05-14

Other Names

• Ben Goldberg