Jay Lee Goldberg

Current Employers

Mosaic Advisors

3773 Richmond Avenue Suite 700, Houston, TX 77046 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-10-12

TX RA
APPROVED

Since 2012-10-12

Branch Locations

3773 Richmond Avenue Suite 700, Houston, TX 77046 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Mosaic Advisors Llc	Houston	TX	06/2012	Present
Mosaic Wealth Partners Llc	Houston	TX	06/2012	Present

06/2012 → Present

Mosaic Advisors Llc

Houston, TX
06/2012 → Present

Mosaic Wealth Partners Llc

Houston, TX

Previous Registrations

2012-02-17 → 2015-03-31

Fsc Securities Corporation

Atlanta, GA

Houston, TX
2011-11-29 → 2012-02-17

Bok Financial Securities, Inc.

Houston, TX
2005-02-17 → 2012-01-12

Pnc Managed Account Solutions, Inc.

Houston, TX
2004-01-07 → 2004-11-12

Amegy Investments, Inc.

Houston, TX
1998-11-12 → 2002-08-05

Raymond James & Associates, Inc.

Houston, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-01-28
S63	Uniform Securities Agent State Law Examination	1981-11-12

S65 Uniform Investment Adviser Law Examination

1997-01-28
S63 Uniform Securities Agent State Law Examination

1981-11-12

Designations

View on SEC IAPD

Current Employers

Mosaic Advisors

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews