Charles A. Goodman

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CRD#: 1108687

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.

Charles Arthur Goodman, CIMA®, who also goes by Charlie Goodman, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1983. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 22, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charlie Goodman

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.

1. 8/5/2014: Three Forks Resources, LLC - Other-gas & oil co. - Not Investment Related - 1515 Wazee St Suite 350, Denver, CO 80202 - Started 01/19/2010 - 1 Hour Per Month/0 Hours During Securities Trading. 2. 07/18/2016: Financial Partners LLC - Registered Investment Advisor DBA - (Hybrid) Financial Partners LLC - Investment Related - At Reported Business Location(s) - Started 06/21/2016 - Financial Plans will be provided on both hourly and fixed fee basis. - 100 Hours Per Month During Securities Trading 3. 8/13/2021 - Goodman Management, LLC - Investment Related - At Reported Business Location(s) - Other-Real Estate Company - Managing Member - Started 01/01/1984 - 2 Hours Per Month/0 Hours During Securities Trading - Family real estate holding company. 4. 4/2022 - Gable House Bed and Breakfast - Not investment related - Durango, CO - Other-Real Estate Company - Managing Member - Started 04/2022 - 40 Hours Per Month - Family real estate holding company.

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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

March 31, 2014 - July 20, 2023

FINANCIAL PARTNERS, LLC

RIA

CRD#: 7059

SANTA FE, NM

Past

March 14, 1987 - September 4, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 25, 1983 - May 16, 1985

EQUERRY SECURITIES, INC.

CRD#: 11096

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".

FINANCIAL PARTNERS, LLC

FINANCIAL PARTNERS, LLC | NEW MEXICO FINANCIAL PARTNERS, LLC | GRENADIER FINANCIAL

CRD#: 170002 / SEC#: 801-110092

RIA

Registered Investment Advisory firm - (3/6/2017 Approved)

California

Registered Investment Advisory firm - (4/14/2017 Terminated)

Colorado

Registered Investment Advisory firm - (3/17/2017 Terminated)

New Mexico

Registered Investment Advisory firm - (3/15/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/15/2017 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.

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/1/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

FINANCIAL PARTNERS, LLC

FINANCIAL PARTNERS, LLC | NEW MEXICO FINANCIAL PARTNERS, LLC | GRENADIER FINANCIAL

CRD#: 170002 / SEC#: 801-110092

RIA

Registered Investment Advisory firm - (3/6/2017 Approved)

California

Registered Investment Advisory firm - (4/14/2017 Terminated)

Colorado

Registered Investment Advisory firm - (3/17/2017 Terminated)

New Mexico

Registered Investment Advisory firm - (3/15/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/15/2017 Terminated)

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Contact information

Main Address

613 Old Santa Fe Trail, Santa Fe, NM 87505

Mailing Address

Phone number

(505) 795-7910

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NMFP FORM ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	460
AUM (Assets Under Management)	$ 145,637,622

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

Charles A. Goodman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

EQUERRY SECURITIES, INC.

Primary Firm SEC Registration

FINANCIAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/4/1994

Series 63

Date: 10/6/1983

SIE

Date: 10/1/2018

Series 3

Date: 7/28/1992

Series 7

Date: 3/21/1987

Series 22

Date: 5/19/1983

Series 24

Date: 6/25/2010

Series 8

Date: 7/1/1991

Current Firm

FINANCIAL PARTNERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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