Veronica M. Goodrich
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.
Veronica Marymarta Goodrich, who also goes by Veronica Marta Goodrich, Veronica Mary Marta Goodrich, was a registered financial professional .
Veronica is a previously registered financial professional and started their career in finance in 1981. Veronica had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2011 - September 4, 2012
FFEC WEALTH PARTNERS LLC
August 12, 2011 - September 4, 2012
FFEC WEALTH PARTNERS LLC
January 2, 2004 - August 12, 2011
CAPWEST SECURITIES, INC.
January 2, 2004 - August 12, 2011
CAPWEST SECURITIES, INC.
October 5, 1999 - December 31, 2003
CETERA ADVISORS LLC
September 1, 1999 - December 31, 2003
CETERA ADVISORS LLC
January 3, 1996 - September 3, 1999
CAPWEST SECURITIES, INC.
March 10, 1995 - December 31, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
January 25, 1995 - January 31, 1995
VSR FINANCIAL SERVICES, INC.
July 7, 1983 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
December 24, 1981 - July 25, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
