Mark Goldberg

Background

About Mark Goldberg

Mark Goldberg is a recognized leader in the financial services industry with broad experience in Investment Management, Financial Intermediary distribution, and Broker Dealer operations. Mark led Griffin Capital Securities as its CEO, where he drove the strategic plan for growth of the firm and later sold to Apollo Global Management in April 2022. Prior to that he was the CEO of W.P. Carey Investment Management and Chairman of Carey Financial, LLC, its Managing Broker Dealer. He held senior positions over a 19 year period at Advisor Group and its predecessor companies. During his tenure he had leadership responsibilities for six US based Broker Dealers, was CEO and President of Royal Alliance, and President of Tokyo Securities. Mark’s work has encompassed decades of constructive engagement with the U.S. government and its agencies which has led to significant improvements to the Financial Services industry. He has worked with the Department of Labor, Securities Exchange Commission (SEC), Financial Institutions Regulatory Authority (FINRA) and Treasury on rule making. He has advocated for financial intermediaries and worked to educate governmental representatives on the critical role they serve. He has provided expert testimony to the Senate Banking Housing and Urban Affairs Committee and at DOL Fiduciary Rule hearings. As an active member of the financial services community he constantly seeks ways to contribute, including as a founding board member for the Financial Services Institute, and as former Chairman of the Institute for Portfolio Alternatives. He also served on the Board of Jerusalem College of Technology where he led their Private/Public initiative for their Technology Incubator program. He is the past Chair and current Executive Board Member of the Invest in Others Foundation, a 501(c)(3) organization that provides philanthropy and acts as a catalyst for the charitable work and volunteerism of financial advisors, employees and their firms. Mark is an Executive Board member for the St. Mary’s Healthcare System for Children where he has been involved for the past 37 years. SMHS mission is to improve the health and quality of life for children and families with special needs. He is the recipient of numerous awards and recognition for his professional and philanthropic efforts. He received the IPA Lifetime Achievement Award in recognition for having significantly advanced the goals and reputation of the Alternative Investment Industry. He is a sought-after public speaker and contributes to several investment-focused publications.