James W. Goodman
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.
James Waiton Goodman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 4 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 1997 - February 4, 1998
INVESTORS CAPITAL CORP.
June 1, 1996 - December 31, 1996
WALNUT STREET SECURITIES, INC.
August 10, 1990 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
November 1, 1983 - May 18, 1990
PFS INVESTMENTS 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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