Michael A. Goodman

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CRD#: 1091833

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.

Michael Alan Goodman was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 1, 2012 - June 3, 2016

WILLIAM O'NEIL + COMPANY

RIA

CRD#: 152620

NEW YORK, NY

Past

May 5, 2010 - June 7, 2012

AURIGA USA, LLC

CRD#: 121731

NEW YORK, NY

Past

February 15, 2008 - April 21, 2010

CARIS & COMPANY, INC.

CRD#: 104235

NEW YORK, NY

Past

April 19, 2004 - January 15, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 24, 1999 - April 30, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

January 28, 1998 - August 19, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

July 10, 1993 - February 27, 1998

SBC WARBURG DILLON READ INC.

CRD#: 1650

STAMFORD, CT

Past

March 14, 1983 - July 22, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 1, 1983 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

CRD#: 7555

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WILLIAM O'NEIL + COMPANY

WILLIAM O'NEIL + CO. INCORPORATED | WILLIAM O'NEIL + COMPANY

CRD#: 152620 / SEC#: 801-120403

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (4/21/2020 Terminated)

Florida

Registered Investment Advisory firm - (4/20/2020 Terminated)

New York

Registered Investment Advisory firm - (3/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/28/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/11/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Current Firm

WILLIAM O'NEIL + COMPANY

WILLIAM O'NEIL + CO. INCORPORATED | WILLIAM O'NEIL + COMPANY

CRD#: 152620 / SEC#: 801-120403

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2021 Terminated)

Connecticut

Registered Investment Advisory firm - (4/21/2020 Terminated)

Florida

Registered Investment Advisory firm - (4/20/2020 Terminated)

New York

Registered Investment Advisory firm - (3/1/2021 Terminated)

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Contact information

Main Address

12655 Beatrice Street Suite 2a, Los Angeles, CA 90066

Mailing Address

Phone number

(310) 448-6800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

WILLIAM O'NEIL & CO. BROCHURE (3/14/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Michael A. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AURIGA USA, LLC

CARIS & COMPANY, INC.

OPPENHEIMER & CO. INC.

UBS SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

SBC WARBURG DILLON READ INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS KUHN LOEB INCORPORATED

Primary Firm SEC Registration

WILLIAM O'NEIL + COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2012

Series 63

Date: 3/11/1983

Series 7

Date: 2/19/1983

Current Firm

WILLIAM O'NEIL + COMPANY

Contact information

Documents

Part 2 Brochures

Red Flags

Company Information

WILLIAM O'NEIL + COMPANY

TRUST BUT VERIFY

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