Jay Lee Goldberg

CFP

Mosaic Advisors

25 Years of Experience

1 Disclosure

View SEC Summary

Areas of Practice

Financial Planning & CoachingEstate PlanningTax PlanningInvestment ManagementHigh Net WorthBusiness Owners

Mosaic Advisors

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

18 advisors

Number of Clients

61 clients

Average Client Portfolio

$8.2M average

Assets Under Management

$499.4M

Fee Structure

Financial Planning:Included in AUM fee

Location

3773 Richmond Avenue, Suite 700, Houston, TX, 77046

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History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

May 1991

Settled

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Mosaic Advisors

October 2012 - Present · 13 yrs 4 mos

Previous Registrations

Fsc Securities Corporation

February 2012 - March 2015 · 3 yrs 1 mo

Bosc, INC.

November 2011 - February 2012 · 3 mos

Bbva Wealth Solutions INC.

February 2005 - January 2012 · 6 yrs 11 mos

Swbt Securities, INC.

January 2004 - November 2004 · 10 mos

Raymond James & Associates, INC.

November 1998 - August 2002 · 3 yrs 9 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.