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Georgia Robin Goodman

CRD# 1063917·Registered 1983 - 2016
Previously Registered: Being a previously registered professional could mean that Georgia 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.

Professional Summary

Georgia Robin Goodman, who also goes by Georgia Robin Rover, Georgia Robin Seltzer, Georgia Seltzer, was a registered financial advisor. Georgia was a previously registered financial professional and started their career in finance 1983 - 2016. Georgia had worked at 8 firms and has passed the SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Georgia Robin Rover, Georgia Robin Seltzer, Georgia Seltzer

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

COWEN PRIME SERVICES LLC·CRD# 153397
BD
Santa Monica, CA
April 9, 2014 - February 24, 2016
SRT SECURITIES LLC·CRD# 33725
BD
Santa Monica, CA
September 28, 2012 - July 31, 2014
SHORELINE TRADING GROUP LLC·CRD# 41888
BD
Santa Monica, CA
April 17, 2006 - March 4, 2013
STROME SECURITIES, L.P.·CRD# 29682
BD
Santa Monica, CA
May 11, 1992 - March 29, 2006
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
December 6, 1989 - May 12, 1992
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
September 20, 1989 - November 5, 1990
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
August 25, 1983 - October 25, 1985
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
June 22, 1983 - September 6, 1983

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Current Firm

CP
COWEN PRIME SERVICES LLC

CONCEPT ASSET MANAGEMENT | COWEN PRIME SERVICES LLC | COWEN PRIME ADVISORS | COWEN OUTSOURCED TRADING | CONCEPT LIFE AGENCY LLC | CONCEPT CAPITAL MARKETS, LLC

CRD#: 153397 / SEC#: 8-68531
BD
Terminated by SEC on 12/18/2021

Contact Information

Established

Delaware since 06/30/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN PB HOLDINGS LLCDIRECT PARENT, MEMBER, OWNER—
CHARNEY, DANIEL SCEO2158255
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
JORDAN, FRANCISPRINCIPAL FINANCIAL OFFICER5634167
POPPELL, RALPH EDWARDCHIEF COMPLIANCE OFFICER1683087

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Feb 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2006About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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