Richard E. Good
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard E Good, who also goes by Rich Good, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2005 - November 8, 2005
CUNA BROKERAGE SERVICES, INC.
June 23, 2004 - January 21, 2005
ARCHER ALEXANDER SECURITIES CORPORATION
November 19, 2002 - March 7, 2003
NEW ENGLAND SECURITIES
October 8, 2001 - December 14, 2001
LASALLE FINANCIAL SERVICES, INC.
September 22, 2000 - October 8, 2001
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
May 11, 1998 - September 1, 1998
RONEY & CO.
January 16, 1995 - May 11, 1998
RONEY & CO. L.L.C.
August 27, 1990 - January 3, 1995
FIRST OF MICHIGAN CORPORATION
December 23, 1985 - August 22, 1990
MORGAN STANLEY DW INC.
September 30, 1981 - July 17, 1984
MANLEY, BENNETT, MCDONALD & CO
September 25, 1981 - January 14, 1986
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
